Article
15 Sep 2026
SEC Moves To Scrap Pay-to-Play Rule
AUTHORS CONTENT
Article
27 Aug 2026
CFTC Proposes Restoring The CPO And CTA Registration Exemptions In Regulations 4.13(a)(4) And 4.14(a)(8)(D), Respectively, But With Important Changes From Similar Existing Relief In CFTC Staff No-Action Letter 25-50
Article
21 Jul 2026
SEC Issues New CFIs On Beneficial Ownership Reporting For Total Return Swaps And Schedule 13D Disclosure
Article
21 May 2026
SEC Raises Qualified Client Thresholds: What Advisers Need To Do Before June 29
Article
23 Mar 2026
Flash Alert: California DFPI Pauses VC Diversity Reporting — April 1 Deadline Lifted
Article
25 Feb 2026
Alternative Data's Integration Into AI Fuels New Opportunities And Challenges
Article
05 Feb 2026
New Mandatory VC California Diversity Reporting: Act Now On 2026 Deadlines
Article
03 Feb 2026
Navigating Compliance Challenges: SEC Exams, Enforcement, Marketing Rule, And AI Trends (Video)
Article
29 Dec 2025
SEC Brings Cybersecurity And Identity Theft Controls Case Against Registered Investment Adviser And Broker-Dealer
Article
29 Dec 2025
SEC's 2026 Examination Priorities For Investment Advisers
Article
29 Aug 2025
Two Recent SEC Enforcement Actions Against Registered Investment Advisers Underscore That Regulatory Compliance Is Still Relevant Despite Enforcement Priority And Examination Changes
Article
07 Aug 2025
Compliance Deadlines To Implement Significant Amendments To Regulation S-P Are Fast Approaching: Key Implications For Covered Institutions (Including Brokers And Investment Advisors) And Recommended Considerations
Article
24 Jul 2025
The Importance Of Complying With Private Fund Documents For Affiliate Transactions
Article
26 Jun 2025
The BSA's Expansion & How Investment Advisers Can Leverage Existing AML Compliance Programs In The Cayman Islands To Comply With The BSA
Article
25 Apr 2025
EDGAR Next: The Future Of SEC Filings Is Here–Are You Ready?
Article
21 Apr 2025
Alternative Data Poised For More Growth In The Age Of AI: Alternative Data Enters The Age Of AI
Article
07 Apr 2025
SEC Updates Guidance On The Use Of Gross And Net Performance In Advertisements
Article
07 Apr 2025
SEC Clarifies Accredited Investor Verification For Rule 506(c) Offerings
Article
04 Mar 2025
Alternative Data Poised For More Growth In The Age Of AI
Article
24 Feb 2025
D&O Insurance And The Regulatory Environment In Trump 2.0 Administration (Part II) (Podcast)