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In This Issue:

New Rules, Proposed Rules, Guidance and Alerts

  • OCIE Issues Risk Alert on Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P
  • SEC Staff Seeks Comment on the Application of the Custody Rule to Digital Assets and Issues Associated with Trades That Do Not Settle on a Delivery versus Payment Basis
  • NFA Adopts Swaps Proficiency Exam Requirement for Associated Persons
  • IRS Releases Final Regulations on Income from Investments in Certain Foreign Corporations
  • SEC Issues Sweeping Securities Offering Reform Proposals for Closed-End Funds
     

Litigation and Enforcement Actions and Initiatives

  • SEC Announces Settlements from Share Class Selection Disclosure Initiative

Download the Regulatory Update here



Professionals



Nathaniel Segal

Counsel



John S. Marten

Shareholder



Jacob C. Tiedt

Shareholder