The U.S. Securities and Exchange Commission has proposed “Regulation Crypto Assets,” a new framework intended to make federal securities rules…
Read MoreCalifornia is close to putting generative AI obligations for lawyers into a statute. Senate Bill 574 (SB 574), authored by…
Read MoreOn June 12, 2025, the SEC withdrew fourteen regulations that were proposed over the past three years, stating they have…
Read MoreIn early April 2025, NASAA amended its model rules for Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct…
Read MoreFINRA recently announced in Regulatory Notice (“Reg. Notice”) 24-12, amendments to Rule 3240 (the “Rule”) which generally prohibits borrowing from…
Read MoreOn February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted Rules 3a5-4 and 3a44-2 (“Final Rules”) defining the phrase…
Read MoreBeginning January 2024, several new laws began to take effect, impacting various professionals - specifically those U.S. businesses and entities…
Read MoreOn December 14, 2022, the Securities and Exchange Commission adopted amendments[1] to Rule 10b5-1 of the Securities Exchange Act of…
Read MoreOn November 16, 2022, the California Department of Financial Protection and Innovation (“DFPI”) proposed new regulations under the Corporate Securities…
Read MoreEach year registered investment advisers (“RIAs”) must undertake a range of compliance tasks and obligations. While tasks can vary dependent…
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