
Quarterly U.S. Regulatory Roundup – First Quarter 2020
In the latest edition of the U.S. Regulatory Roundup, Duff & Phelps' Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA, NFA and regulatory news in relation to COVID-19 in the first quarter of 2020.
U.S. Securities and Exchange Commission Update – First Quarter 2020
- SEC Postpones National Compliance Outreach Seminar for Investment Companies and Investment Advisers
- SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
- SEC Office of Compliance Inspections and Examinations Publishes Observations on Cyber Security and Resiliency Practices
- SEC Proposes Improvements to Governance of Market Data Plans
- SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
- Jury Finds Investment Adviser and its Owner Liable for Fraud
- SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
- SEC Obtains Judgment Against Former Chief Compliance Officer of Investment Adviser
- SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Financial Industry Regulatory Authority Update – First Quarter 2020
- FINRA Launches New Data on Treasury Securities Trading Volume
- New Rate for Fees Paid Under Section 31 of the Exchange Act
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Releases 2020 Risk Monitoring and Examination Priority Letter
- SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPO’s
- Information Notice: 2020 and First Quarter of 2021 Report Filing Due Dates
National Futures Association Update – First Quarter 2020
- Educational Resources, Common Deficiencies and Other Important Regulatory Information for CPO and CTA Members
- Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to COPs/CTAs Exempt from Registration
- NFA’s Swaps Proficiency Requirements Effective January 31, 2020
COVID-19 and U.S. Regulation – First Quarter 2020
- SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
- Coronavirus (COVID-19) Update – Regulatory Relief for IBs
- SEC Extends Conditional Exemptions from Reporting and Proxy Delivery Requirements for Public Companies, Funds and Investment Advisers Affected by COVID-19
- Coronavirus (COVID-19) Update – Regulatory Relief for CPOs and CTAs
- SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by COVID-19
Other Regulatory Matters – First Quarter 2020
- California Consumer Protection Act
Articles
US Securities and Exchange Commission Update - First Quarter 2020
by Peter Wilson
Financial Industry Regulatory Authority Update - First Quarter 2020
by Peter Wilson
National Futures Association Update - First Quarter 2020
by Peter Wilson
COVID-19 and U.S. Regulation - First Quarter 2020
by Peter Wilson
Other Regulatory Matters - First Quarter 2020
by Peter Wilson
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