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The U.S. Securities and Exchange Commission (SEC) proposed to amend Exchange Act Rule 15c3-3 (the Customer Protection Rule)[1] on July 12, 2023. If adopted, the proposed amendments...
In February 2022, the Securities and Exchange Commission (the "SEC" or the "Commission") proposed sweeping new regulatory requirements under the Investment Advisers Act of 1940...
Yesterday, the five SEC commissioners voted 3-2, along party lines, to approve the Private Fund Adviser Rules.
In February 2022, the Securities and Exchange Commission (the “SEC” or the “Commission”) proposed sweeping new regulatory requirements under the Investment Advisers Act of 1940, as...
Yesterday, the five SEC commissioners voted 3-2, along party lines, to approve the Private Fund Adviser Rules. The final Rules scale back from what was initially proposed 18 months...