U.S. Regulatory Update
Summer 2023
We invite you to download our U.S. Regulatory Update. In this newsletter, you will find practical thought leadership distilling the latest regulatory headlines.
For all firms, we highlight updates to the SEC’s rulemaking calendar. For advisers, we break down the recent money market fund reforms, including new information that large liquidity funds will be required to report on Form PF. For broker-dealers, we share highlights of FINRA's recent financial reports. And for NFA member firms, we report on the Commodity Futures Trading Commission (CFTC) Division of Enforcement’s creation of two new task forces.
Finally, we share our “lessons learned” from recent enforcement activity and suggested resources for your additional research.
Download the Newsletter
This edition includes the following articles:
- Updated Rulemaking Calendar for Key SEC Proposals
- SEC Drops “Swing Pricing” for Money Market Funds and Increases Liquidity Requirements
- SEC Proposes Amendments to Broker-Dealer Consumer Protection Rule
- FINRA Reports its 2022 Annual Financial Results and Use of 2022 Fine Monies
- CFTC Division of Enforcement Creates Two New Task Forces
- Settlement Over Private Equity Fee Miscalculations
Stemming from Permanent Impairment Policy - Variation on a Theme - Vendor Failings Lead to Broker-Dealer Recordkeeping Violations
- Mutual Fund Adviser Overcharges Shareholders and Fails to Disclose Material Use of Paired Interest Rate Swaps
- To Do Checklists for July/August 2023
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