Regulatory Update
February 2023
This month, we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs and the several new state privacy law taking effect this year. We've also gathered resources to help you manage the growing number of states adopting continuing education requirements and remind you of the newly effective amendments to Form 13F.
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In this newsletter, we reflect on the latest regulatory updates and developments of note.
Articles Include:
- News for All Firms
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SEC Amends Rule 10b5-1 Restricting Insider Trading
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State Privacy "Class of 2023" - Several New Privacy Laws Taking Effect
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- News for Investment Advisers
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10 States Now Require IARs to Complete Annual Continuing Education
- Form 13F Amendments to Make Data More Usable Take Effect
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- News for CPOs/CTAs
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NFA Reminds Members to Confirm Exemption Status of Entities They Do Business With
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- Lessons Learned
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SEC Fines Service Provider $5 Million for Securities Fraud: Service Providers Beware!
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I'm Ready for My Close-Up: Former PM Leverages Investment to Get His Daughter in the Movies
- Adviser Keeps Revenue Sharing on the Down Low - and Gets SEC Smackdown
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