First & Second Quarter 2024 Regulatory Updates for SEC Registered Investment Advisors
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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.
Risk Alert on Security-Based Swaps Dealers – January 10, 2024
SEC Charges JP Morgan Subsidiary For Violating Whistleblower Protection Rule – January 16, 2024
SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Disclosures – January 24, 2024
SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product – February 7, 2024
SEC Adopts Amendments to Form PF – February 8, 2024
SEC Charges Broker-Dealers and Investment Advisers for Recordkeeping Violations – February 9, 2024
SEC Proposes to Update the Definition of Qualifying Venture Capital Funds – February 14, 2024
Risk Alert on T+1 Settlement – March 27, 2024
Amendments to the Investment Advisers Act – March 27, 2024
DOL Issues New ERISA Fiduciary Rule – April 23, 2024
SEC Charges Crypto Asset Mining and Hosting Company and Its Co-Founders with Fraud – April 24, 2024
US Appeals Courts Vacates SEC Private Fund Adviser Rule – June 5, 2024

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