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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.

National futures associationCompliance ruleInterpretive noticeAnnual questionnaireAssociated personMember questionnaire

National Futures Association Announces Finalized Compliance Rule

National Futures Association Announces Finalized Compliance Rule
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

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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
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

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