-
SEC Staff publishes additional Names Rule FAQs
This article provides a brief historical background of the Names Rule and a summary of the current obligations of registered funds.
-
SEC Staff proposes N-PORT amendments and extends compliance dates
If adopted, the amendments in the Proposal would remove Names Rule-related reporting requirements previously adopted in 2023.
-
GRIP Extra: CFTC sues states over prediction markets, OCC rescinds big bank recovery planning guidelines
Our in-brief roundup of notable stories from the last week.
-
SEC enforcement highlights valuation risks in affiliated loan transactions
After reviewing a recent case, Janaya Moscony offers lessons learned and explains why this matters for advisers.
-
Framing the Issue: A US strategic bitcoin reserve
Global financial destablilizer or shock absorber?
-
Rebecca Fike talks to GRIP about SEC enforcement and more
Fike, former SEC senior counsel, told us about the effects of uncertainty and tempered enforcement activity at the SEC on her clients, and her advice to them.
-
GRIP Extra: CFTC launches Innovation Task Force, digital Euro progress advances
Our in-brief roundup of notable stories from the last week.
-
SEC hints long-awaited e-delivery rule could be imminent
House lawmakers are also moving to allow electronic investor disclosures and communications, but the SEC may act first.
Overview
Latest News