CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling highlighted registration and disclosure requirements for firms involved in commodity pool offerings.

In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.

The SEC proposal to amend the advertising and solicitation rules under the Investment Advisers Act of 1940 was published in the Federal Register

The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act.

FINRA identified risk monitoring and examination priorities for 2019.

SIFMA, ISDA, FIA, and other industry trade associations and diverse banking organizations made recommendations on proposed changes to regulations implementing the "Volcker Rule."

The SEC charged a cannabis investment fund and its founder with securities fraud for allegedly using misleading marketing materials and deceptive sales pitches to lure investors.

FINRA staff concluded that member firms may use "Related Performance Information" in institutional communications concerning variable annuity and life insurance contracts.

Purshe Kaplan Sterling Investments agreed to pay restitution and additional penalties to settle FINRA charges that the firm had failed to supervise adequately an employee who made fraudulent sales.

IOSCO determined that further analysis of "Loan Funds" is not warranted at this stage, since regulators believe their current general rules for this "so-called 'shadow banking activity,'" address systemic risks sufficiently.

The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to several commodity pool operators from the annual report filing requirement, and from the requirement that such reports contain an audited annual financial statement.

The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to several commodity pool operators from the annual report filing requirement and the requirement that such reports contain audited annual financial statements.

The SEC Division of Investment Management granted no-action relief regarding Section 203(l) ("Registration of Investment Advisers") of the Advisers Act and the definition of "venture capital fund" thereunder for certain investment managers. In particular, the letter relates to whether a fund can be...

Democratic presidential candidate Hillary Clinton expressed support for an "SEC rulemaking requiring publicly traded companies to disclose all political spending to their their shareholders." In a public statement, Clinton said that "information about how corporate funds are being used to fuel...

FINRA issued a regulatory notice requesting comments on proposed amendments to the FINRA rules governing communications with the public. The proposed amendments would revise the filing requirements in FINRA Rule 2210 ("Communications with the Public") and FINRA Rule 2214 ("Requirements for the Use...

FINRA issued an interpretive letter to an underwriter and wholesale distributor of registered mutual funds. The letter concerns the use of "Related Performance Information" in communications that are distributed solely to institutional investors pursuant to FINRA Rule 2210(a)(4) . In the letter,...

David W. Blass, Chief Counsel of the SEC Division of Trading and Markets, delivered a speech discussing when a firm or individual is required to register with the SEC as a broker-dealer, with particular application to private funds. David Blass discussed two broker-dealer issues relevant to funds...