Communiques

2024 Predictions

We hope that everyone is enjoying the new year.  With 2024 underway, we wanted to share our thoughts and predictions on regulatory matters for the

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2024 SEC Exam Priorities

The SEC is early to the game releasing the 2024 Exam Priorities just eight months after the 2023 Exam Priorities. Aside from the fact that the

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SEC Rule Amendments from Last Week

Last week, the Securities and Exchange Commission announced the approval to revise regulations under the Privacy Act and enhancements to the Investment Company Act “Names

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