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On June 5, 2024, a three-judge panel in the U.S. Fifth Circuit Court of Appeals ruled that the Securities and Exchange Commission exceeded its statutory authority in adopting the...
On 20 May 2024, the National Futures Association (NFA) announced that its recently finalized Compliance Rule 2-52, related Interpretive Notice 9082 and amended Bylaw 301 will go into effect on 15 October 2024.
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers—Delphia (USA) Inc. and Global Predictions...
The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.
On October 16, the Division of Examinations (the Division or Exams) at the U.S. Securities and Exchange Commission (SEC) announced its 2024 examination priorities.