Priorities Include Artificial Intelligence and Other Emerging Technologies, Complex Products, Reg BI, Cybersecurity, Outsourcing, Private Funds and Compliance with New and Amended SEC Rules
On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (“SEC”) released its examination priorities for fiscal year 2025 (which started October 1, 2024).
On August 14, 2024, FINRA published an update (the “Update”) on its ongoing efforts to engage with its members related to crypto asset activities. The Update describes “crypto assets” as assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called virtual currencies, coins, and tokens.
On May 15, 2024, the US Securities and Exchange Commission (“SEC”) adopted amendments (the “Amendments”) to Regulation S-P under the Securities Exchange Act of 1934 (the “Exchange Act”), which governs the treatment of nonpublic personal information about consumers by certain financial institutions, to modernize and enhance the protections under the regulation.
The Amendments require broker-dealers
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements.
Read our related client alert.
This microtalk is a part of a series on the FINRA Notice on Private Placements. Parts 1, 2 and 4 are available on our MB Microtalk
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements.
Read our related client alert.
This microtalk is a part of a series on the FINRA Notice on Private Placements. Parts 1, 3 and 4 are available on our MB Microtalk
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements.
Read our related client alert.
This microtalk is a part of a series on FINRA Regulatory Notice 23-08. Parts 2, 3 and 4 are available on our MB Microtalk page.
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 examination priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more.
Read the related client alert.
This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 1 and 2 are available on our MB Microtalk
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 exam priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more.
Read the related client alert.
This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 1 and 3 are available on our MB Microtalk
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 exam priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more.
Read the related client alert.
This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 2 and 3 are available on our MB Microtalk
On January 23, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published an update to the targeted exam it launched in November 2022, which was designed to review – for compliance with FINRA Rule 2210 – the practices of member firms that communicate with retail customers concerning “Crypto Assets” (generally, assets that are issued or