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Articles by Ari Abramovitz
SEC Division of Examinations Releases 2023 Priorities | JD Supra
The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2023 Examination Priorities on February 7, 2023. The 2023 Examination Priorities1 continue to reflect an examination program that is vigorous and broad in its focus, with special attention paid to newly implemented regulatory changes and the standards of conduct for investment advisers and broker-dealers.
Federal Regulators to the Rescue? The OCC Adopts Rule to Address Madden Risk | JD Supra
In an effort to address the uncertainty created by the U.S. Second Circuit Court of Appeal’s holding in Madden v.
Federal Banking Agencies Provide Temporary Relief from Compliance with Regulation O for Investment Advisers to Large Fund Complexes | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Federal Banking Agencies Provide Temporary Relief from Compliance with Regulation O for Investment Advisers to Large Fund Complexes | Lexology
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (Federal Banking Agencies) on December 27, 2019 provided temporary relief from Regulation O for banks and certain fund complexes with respect to extensions of credit to certain portfolio companies.1 The relief will be helpful to investment advisers to large fund complexes that, through the aggregated holdings of their fund clients and other...
Federal Regulators to the Rescue? The OCC and FDIC Propose Rules to Address Madden Risk. | Lexology
With the hope of finally addressing the uncertainty created by the U.S. Second Circuit Court of Appeal’s holding in Madden v.
Federal Regulators to the Rescue? The OCC and FDIC Propose Rules to Address Madden Risk. | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Market Participants to Their Corners: Competing Views on Market Data Are on Full Display at the SEC’s Market Data Roundtable | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Activist States Move Forward with Fiduciary Standards for Broker-Dealers and Investment Advisers | JD Supra
Although the U.S. Securities and Exchange Commission (SEC) staff is currently drafting proposed rules relating to the standard of conduct for broker-dealers and investment advisers,1 several states have decided not to wait for the SEC’s action.
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