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Fifth Circuit Rules SEC Exceeded Its Authority in Adopting Private Fund Advisers Rule | Foley & Lardner LLP

On June 5, 2024, a three-judge panel in the U.S. Fifth Circuit Court of Appeals ruled that the Securities and Exchange Commission exceeded its statutory authority in adopting the.

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United States - Advertising, Marketing & Branding - SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.

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United States - Financial Services - NFA Announces Effective Date For New Compliance Rule 2-52 And Related Guidance Re: Member Questionnaire

On 20 May 2024, the National Futures Association (NFA) announced that its recently finalized Compliance Rule 2-52, related Interpretive Notice 9082 and amended Bylaw 301 will go into effect on 15 October 2024.

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National Futures Association Announces Finalized Compliance Rule

National Futures Association Announces Finalized Compliance Rule
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SEC Staff's Latest Marketing Rule Risk Alert Highlights Initial Observations from Examinations | Vedder Price

SEC Staff's Latest Marketing Rule Risk Alert Highlights Initial Observations from Examinations | Vedder Price
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