The CFTC and the SEC finalize their amendments to Form PF. Firms would have one year at least to comply.
After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
If your firm manages a donor advised fund, hurry. You have until Thursday to comment to the IRS about a new proposal that could tax ...
Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...
Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance
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You have to go back nearly 40 years to when the U.S. Supreme Court ruled in a case that created the so-called Chevron doctrine, in ...
Chevron “puts a thumb on the scale” for the agency in enforcement matters. Federal courts freed from the need to grant the agency deference could ...
Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios