First & Second Quarter 2024 Regulatory Updates for SEC Registered Investment Advisors

First & Second Quarter 2024 Regulatory Updates for SEC Registered Investment Advisors

Stay informed on the latest regulatory updates for SEC registered investment advisors with our comprehensive summary. Explore amendments and risk alerts covering a wide range of topics, including security-based swap dealers, whistleblower protection, enhanced investor protection, investment advisors act, ERISA and crypto. Keep up-to-date with the evolving landscape of compliance requirements to ensure your investment advisory practices are in line with current regulations.

  1. Risk Alert on Security-Based Swaps Dealers – January 10, 2024

  2. SEC Charges JP Morgan Subsidiary For Violating Whistleblower Protection Rule – January 16, 2024

  3. SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Disclosures – January 24, 2024

  4. SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product – February 7, 2024

  5. SEC Adopts Amendments to Form PF – February 8, 2024

  6. SEC Charges Broker-Dealers and Investment Advisers for Recordkeeping Violations – February 9, 2024

  7. SEC Proposes to Update the Definition of Qualifying Venture Capital Funds – February 14, 2024

  8. Risk Alert on T+1 Settlement – March 27, 2024

  9. Amendments to the Investment Advisers Act – March 27, 2024

  10. DOL Issues New ERISA Fiduciary Rule – April 23, 2024

  11. SEC Charges Crypto Asset Mining and Hosting Company and Its Co-Founders with Fraud – April 24, 2024

  12. US Appeals Courts Vacates SEC Private Fund Adviser Rule – June 5, 2024

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