The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]

September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]