SEC Rules Content

In February, FINRA proposed to further amend Rule 2210 (Communications with the Public) (the "rule").

On January 25, 2024, the CFTC's Divisions of Market Oversight, Clearing and Risk, Market Participants, and Data and the Office of Technology Innovation issued a request for comment ("RFC") to better inform them on the current and potential uses and risks of artificial intelligence (...

The Securities and Exchange Commission recently announced that a registered investment adviser to an exchange-traded fund has agreed to pay a $1.75 million civil penalty to settle charges that the adviser failed to properly disclose a licensing arrangement it had with the ETF's index...

On Wednesday, February 7, the SEC approved a proposed rule change from FINRA to amend its rules to allow it to disseminate transaction-level data in US Treasury securities that are On-the-Run Nominal Coupons on an end-of-the-day basis.

On January 30, 2024, the Chamber of Commerce along with several other business federations and associations, filed a complaint in the United States District Court for the Central District of California against the California Air Resources Board ("CARB") and two of its leaders. The...

This memorandum catalogues significant ESG related developments that have occurred since August 22, 2023. It references ICI memoranda that provide a more fulsome description of each matter. You can find all of these memoranda on our website in our ESG Resource Center.

[35589] January 21, 2024 TO: Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Retail SMA Advisory Committee SEC Rules Committee SUBJECTS: Advertising Compensation/Remuneration Compliance Disclosure...

ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (collectively, the Agencies) to amend the...

In late December of 2023, the Federal Energy Regulatory Commission (FERC) issued a Notice of Inquiry (NOI) seeking comment on whether, and if so, how, it should revise its policy on providing blanket authorizations for investment companies under section 203(a)(2) of the Federal Power...