SEC Archives

The SEC proposed substantial changes to Form PF that would require private fund managers to report certain events within one day and private equity fund managers to provide additional information.

January 27, 2022

Tags: Form PF, Gary Gensler, Hedge Funds, Hester Peirce, Private Equity, Private Funds, SEC

National Society of Compliance Professionals Releases CCO Liability Framework

The framework looks to clarify the role of CCOs when determining their personal responsibility for a firm’s potential compliance failures

January 18, 2022

Tags: CCO, SEC

IAA Supports SEC Proxy Advice Proposal, Requests Rescission of Guidance for IAs

The IAA recently submitted a comment letter in response to the SEC’s proposed amendments to its regulations regarding proxy voting advice provided by proxy advisory firms.

January 05, 2022

Tags: Proxy Voting, SEC

SEC, CFTC Budgets Increased; SECURE Act Becomes Law

SEC, CFTC Budgets Increased; SECURE Act Becomes Law December 20, 2019 The budgets of both the SEC and CFTC will be significantly increased under the FY 2020 federal spending...

December 20, 2019

Tags: Retirement Savings, Budgets, CFTC, Inside the Beltway, Retirement Plans, SEC, SECURE Act

New SEC, CFTC Staff Guidance on Coronavirus-Related Issues

New SEC, CFTC Staff Guidance on Coronavirus-Related Issues March 17, 2020 As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep...

March 14, 2020

Tags: CFTC, Coronavirus, COVID-19, SEC

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