Rulemaking

Among the many things that will be impacted by the results of the upcoming presidential election will be the agenda of the SEC and other ...

The CFTC's agenda includes one item, and it's directed at CPOs/CTAs

With all the new regulations emerging from Washington in recent years, you can’t blame some advisers for saying enough already

Backers say the measure will help the U.S. clean up its markets, making it harder for foreign oligarchs and other criminals to hide their money ...

A decades-old appellate case, seemingly buried by the Great Recession, has come back to haunt the SEC’s quest for private fund reforms. In 2006, a ...

Case puts a ceiling on regulators' private fund ambitions, but managers may still see the compliance floor rise

This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA

These changes would establish governance and fitness requirements with respect to market regulation functions, as well as related conflict of interest standards, requirements relating to ...

You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...

This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions