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2 May 2024, 7:32 am
The CFTC is collecting information as part of a broader staff effort to monitor the adoption of AI in CFTC-regulated markets, including machine learning and other uses of automation.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
2 May 2024, 7:00 am
For more information about Wolters Kluwer’s please visit: www.wolterskluwer.com [read post]
1 May 2024, 6:07 am
The Commission believes that adopting amendments consistent with important staff letters, while adding specificity or detail to existing requirements, will help swap dealers clearly demonstrate compliance.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
30 Apr 2024, 7:06 am
Third, Johnson proposed the establishment of an inter-agency task force to harmonize safeguards and ensure market stability and integrity.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
29 Apr 2024, 6:31 pm
In this episode of The Geek in Review podcast, hosts Marlene Gebauer and Greg Lambert welcome back Richard Tromans, founder of Artificial Lawyer, after his year-and-a-half sabbatical. [read post]
29 Apr 2024, 5:52 am
CFAT is a co-plaintiff in a pending lawsuit, also in the Northern District of Texas, that challenges SEC’s regulatory claim over crypto assets.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
26 Apr 2024, 7:00 am
By Suzanne CosgroveThe Department of Labor this week issued a final rule that defines the role of an investment advice fiduciary for purposes of Title I and Title II of ERISA, categorizing a person as an investment advice fiduciary if they provide recommendations to investors on a regular basis as part of their job, or if they represent that they are acting as a fiduciary under Title I or Title II of ERISA, or both.The investment recommendations also must be provided “for a fee or other… [read post]
25 Apr 2024, 7:44 am
Please contact Stefanie Efrati, the Wolters Kluwer Customer Success Manager, for more information at stefanie.efrati@wolterskluwer.com. [read post]
25 Apr 2024, 7:10 am
The petition asked the Commission to shorten the reporting period to two business days after the end of the calendar quarter.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
24 Apr 2024, 8:34 am
The Board approved issuing a request for comment on proposed changes to MSRB Form A-12 to collect associated person information from bank dealers for display on MSRB.org, similar to information made available by the MSRB on associated persons of municipal advisors, as well as on certain potential technical amendments to Rule A-12.Read the rest of the story and other securities news from Wolters Kluwer on VitalLaw.com. [read post]
23 Apr 2024, 6:48 am
”Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
22 Apr 2024, 6:04 am
There is nothing, the complaint says, in the securities laws that gives the SEC the power to regulate the investment decisions of Americans or to gather all investment data from them or their brokers.Read the rest of the story and other securities news from Wolters Kluwer on VitalLaw.com. [read post]
22 Apr 2024, 4:20 am
“I am eager to begin collaborating with this dynamic team as we chart a path toward continued growth. [read post]
19 Apr 2024, 8:19 am
The staff noted that it identified deficiencies in 17 percent of the comment forms it issued for each of the 2021 and 2022 inspection cycles where the auditor did not perform sufficient procedures to test the accuracy and completeness of IPC or other data and reports, including information produced by service organizations.The report, which includes good practices and other staff reminders, is intended to help auditors improve their audits of public companies and broker-dealers.Read the rest of the… [read post]
18 Apr 2024, 6:09 am
While many factors were at play, he said that a throughline is that elevated investor interest often leads to elevated investor risk.Read the rest of the story and other securities news from Wolters Kluwer on VitalLaw.com. [read post]
17 Apr 2024, 6:29 am
Click here to access the briefing and other securities news from Wolters Kluwer on VitalLaw.com. [read post]
17 Apr 2024, 4:00 am
Wolfe is a seasoned executive with a strong track record of innovation. [read post]
16 Apr 2024, 6:15 am
Some these efforts were documented in a GAO report issued in January 2024, which Johnson had cited in her remarks.Read the rest of the story and other securities news from Wolters Kluwer on VitalLaw.com. [read post]
5 Apr 2024, 6:00 am
Please contact Stefanie Efrati, the Wolters Kluwer Customer Success Manager, for more information at stefanie.efrati@wolterskluwer.com. [read post]
3 Apr 2024, 6:06 am
As of the quarter’s close, 19 companies have withdrawn this year compared to 25 in 2023’s first quarter.The information reported here is gathered using IPO Vital Signs, a Wolters Kluwer Regulatory U.S. database that includes all SEC registered IPOs, including REITs and those non-U.S. [read post]
