BDC | Broker Dealer Regulation | Investment Adviser Regulation | Mutual Funds | NFA | Privacy | Private Funds | Regulatory Deadlines | SEC Rule changes

SEC’s Division of Enforcement is Not Taking a Summer Break, FINRA Speaks on Best Execution, Margin Requirements and Private Placements, New Definition of Qualified Client Takes Effect and More: Regulatory Update for August 2021

Trading Restrictions Impacting Chinese Military Companies Persist but Modified Under New Executive Order. President Biden signed Executive Order 14032 (“E.O.”) on June 3, 2021, which effectively continues the restrictions on…

cryptocurrency | FINRA Rule Changes | Mutual Fund Regulation | Privacy

OCIE Lists Privacy Blunders; SEC Explains When Digital Assets become Securities; Ohio Mandates IARs and RR to Report Elder Abuse; FINRA Gives Broker an “F” in Email Review; and Google Searches Don’t Count as Due Diligence

Reg S-P Compliance Violations Spelled out by SEC: OCIE reviewed two years of deficiency letters and came up with a list of the most common Regulation S-P compliance issues.  The…