Rulemaking

'The investing public may not be getting like protections between traditional IPOs and SPACs,' Chairman says

Unregistered private funds have targets on their back

The proposed shift addresses the current impact of Exchange Act rule 15c3-1 (net capital rule) on settlement timing, particularly on smaller firms

Feds focused on custody, loans, stablecoins, and holding crypto assets legally

Rulemaking-by-enforcement may be coming to private funds

Tomorrow's Federal Register will contain a new OSHA rule directed at larger employers (with more than 100 staffers) that would encourage COVID vaccines or testing

Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...

SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...

Dem Commissioner endorses redefinition of "shareholder of record"

Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...