A federal court in Texas recently issued a preliminary injunction prohibiting the government from collecting beneficial ownership information reports under the Corporate Transparency Act.
December 06, 2024
Tags: BOIR, CTA, Treasury Department
Category: News
A federal court in Texas recently issued a preliminary injunction prohibiting the government from collecting beneficial ownership information reports under the Corporate Transparency Act.
December 06, 2024
Tags: BOIR, CTA, Treasury Department
SEC Committee Discusses Arbitration, Alternative Assets, and Finfluencers
The SEC’s Investor Advisory Committee discussed arbitration clauses, retail investor access to alternative assets, and financial influencers.
December 13, 2024
Tags: Arbitration, Finfluencers, Retail
Problematic SEC Dealer Rule Vacated
The SEC’s problematic rule has been fully vacated by a Texas district court.
November 22, 2024
Tags: Trading
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading
SEC Publishes 2025 Examination Priorities
SEC’s 2025 examination priorities include fiduciary duty, effectiveness of compliance programs, cybersecurity, and artificial intelligence.
October 21, 2024
Tags: Artificial Intelligence , Cybersecurity, Fiduciary, Private Funds, SEC Examinations
IAA Calls on Agencies to Study FIGI, CUSIP Before Selecting Common Identifier
The IAA is urging agencies to withdraw a joint proposal to make FIGI the common financial instrument identifier and repropose it after further study.
October 22, 2024
As Online Imposter Scams Grow, SEC and Firms Warn Investors to Heed Red Flags
The IAA will hold a member call on how firms can help mitigate the risk from imposter scams.
October 07, 2024
Tags: Imposter, Investor Alert, WhatsApp
SEC Announces National Compliance Outreach Seminar
The SEC is planning a virtual national compliance outreach seminar for investment advisers and investment companies on November 7.
October 03, 2024
Tags: Compliance, SEC Examinations
SEC Committee Focuses on Fiduciary
The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.
September 20, 2024
Treasury Issues Final AML Rule for Investment Advisers
The Treasury Department has finalized its proposed AML rule for investment advisers.
August 28, 2024
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