The CFTC’s Qualified Eligible Person Exemption for Commodity Pool Operators
After nearly a decade and a half of operating private funds pursuant to registration as commodity pool operators (CPOs), certain CPOs may be able to withdraw from CPO registration under new CFTC no-action relief.
April 10, 2026
SEC Intends to Increase Assets Under Management and Net Worth Thresholds for “Qualified Clients”
The SEC intends to make inflation adjustments to the assets-under-management and net worth tests in the Advisers Act rule regarding performance-based fees.
April 03, 2026
DOL Proposes New ERISA Safe Harbor for Selecting Investment Options
What you need to know: DOL has proposed a new ERISA Safe Harbor for selecting investment options, including alternatives.
March 31, 2026
Prediction Markets and Event Contracts: Takeaways from IAA Member Call
This article summarizes key insights from an IAA member call on regulatory considerations for prediction markets.
March 06, 2026
Names Rule and Form N-PORT: SEC Issues FAQs, Proposes Changes
The SEC has proposed amendments to the Form N-Port reporting requirements, extended the compliance deadline for the mutual fund Names Rule related reporting, and issued four long awaited FAQs regarding the Names Rule.
February 20, 2026
Hedge Clauses Under the SEC Microscope, Again
SEC scrutinizing the use of hedge (liability limiting) clauses in retail advisory agreements with clients.
February 17, 2026
The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
January 29, 2026
SEC Holds Final Compliance Outreach Event for Regulation S-P
The SEC hosted an outreach event for small firms on changes to the rule and what to expect in exams.
January 29, 2026
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