This document contains a notice of amendment to class prohibited transaction exemption (PTE) 2020-02, which provides relief for investment advice fiduciaries to receive certain compensation ...
This document contains a notice of amendment to Prohibited Transaction Exemption (PTE) 84-24, an ERISA exemption from certain prohibited transactions
This document contains a notice of amendments to Prohibited Transaction Exemptions (PTEs) 75-1, 77-4, 80-83, 83-1, and 86-128, which are class exemptions from certain prohibited ...
"The new Registered Fund Statistics report includes more than 70 data tables reflecting aggregated and anonymized public and non-public information filed on Form N-PORT. It is the ...
"If the dominant model becomes billion-dollar unicorns being backed by many rounds of VC funding and then going public as mega cap companies, it would ...
"Is going public through a special purpose acquisition company still a viable path for private companies, given the Commission’s recent final SPAC rulemaking?"
This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA
SEC exams continue to hammer on off-channel communications, adjusting to the DOL's new exemption, Peirce decries pay-to-play crackdown ahead of November's elections, FINRA files fresh ...
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...