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Trayne Wheeler on Muck Rack

Trayne Wheeler

Boston
As seen in: JD Supra, The National Law Review, Lexology
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Articles

United States: SEC Proposes Amendments to Broaden the Scope of Regulation S-P in Response to Digital Communications and Risks to Customer Personal Information

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By Nishith Desai Associates, Trayne Wheeler, Brian Doyle-Wenger
| The National Law Review Verified
On March 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) proposed amendments to Regulation S-P. The proposed amendments would require covered institutions to enhance protections of consumer information by requiring the adoption of written policies and procedures for an incident response program.
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United States: SEC Reopens Comment Period for Eleven Significant Rulemaking Releases

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By Trayne Wheeler, Brian Doyle-Wenger
| Lexology Verified
On October 7, 2022, the Securities and Exchange Commission (the “SEC”) announced that, due to a technological error, it was reopening the public comment periods for 11 pending rulemaking releases (“Rulemaking Releases”) and one request for comment.
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SEC Solicits Comments on Whether Index Providers, Model Portfolio Providers, and Pricing Services Are Investment Advisors: Seeking a Problem for a "Solution" | K&L Gates LLP - JDSupra

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By Trayne Wheeler, Richard Kerr, Peter Shea, Nicholas Ersoy
| JD Supra
Introduction On 15 June 2022, the Securities and Exchange Commission (SEC) issued a “Request for Comment on Certain Information Providers Acting as Investment Advisers” (Request).1 The Request addresses three categories of what the SEC refers to as “information providers” or “providers:” index providers; model portfolio providers; and pricing services.2 The SEC is seeking comment with respect to information providers “whose activities, in whole or in part, may cause them to meet the...
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