by Patomak Global Partners | Aug 2, 2022 | U.S. Regulatory Update
2 August 2022 Securities and Exchange Commission SEC Re-Proposes Amendments to Narrow Exemption from FINRA Membership On 29 July, the SEC re-proposed rule amendments to narrow the exemption from membership in FINRA for certain broker-dealers. The changes would...
by Patomak Global Partners | Jul 26, 2022 | U.S. Regulatory Update
26 July 2022 Securities and Exchange Commission SEC Charges Former Coinbase Manager and Two Others in Crypto Asset Insider Trading Action On 21 July, the SEC announced insider trading charges against a former Coinbase product manager, his brother, and his friend for...
by Patomak Global Partners | Jul 12, 2022 | U.S. Regulatory Update
12 July 2022 Securities and Exchange Commission SEC to Hold Meeting to Consider Amendments to Proxy and Shareholder Proposal Rules On 13 July, the SEC will hold a public meeting to consider: (i) whether to adopt amendments to the proxy rules governing proxy voting...
by Patomak Global Partners | Jul 6, 2022 | U.S. Regulatory Update
6 July 2022 Highlights US Supreme Court Issues Ruling on EPA Authority On 30 June, the Supreme Court delivered its decision in West Virginia v. EPA. By a vote of 6-to-3, the Court ruled that the EPA overstepped its congressional authority by making overly sweeping...
by Patomak Global Partners | Jun 28, 2022 | U.S. Regulatory Update
Securities and Exchange Commission SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers On 23 June, the SEC adopted a set of rules and form amendments that require certain documents filed by investment advisers,...
by Patomak Global Partners | Jun 21, 2022 | U.S. Regulatory Update
21 June 2022 Securities and Exchange Commission SEC Seeks Public Comment on Information Providers as Investment Advisers On 15 June, the SEC requested information and public comment on the activities of certain “information providers” – such as index providers, model...
