On March 2, 2021, Virginia governor Ralph Northam signed into law the Consumer Data Privacy Act (CDPA), which will take effect in 2023.
On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register.
On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.
The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the fiscal year.
Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.
The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.
On Jan. 20, 2021, President Biden’s first day in office, the White House issued a memorandum indicating a regulatory freeze.
President Biden recently named Gary Gensler as his pick to be the new chairman of the Securities and Exchange Commission.
The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.
DOL finalized its new fiduciary rule exemption to allow advisers to receive compensation for otherwise prohibited rollovers.
