+ Prohibitions on insider trading
+ Information barriers
+ Code of ethics and personal trading
+ Trading rules in the U.S.
+ Advertising rules
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April 2021 Regulatory Update
Our U.S. Regulatory and Compliance Group issues periodic regulatory and compliance updates on the latest issues impacting our clients. Read our April update here:
Click here to Download a PDF of the full report.
New SEC Chair Signals Enforcement Focus
SEC Signals Increasing Focus on Environmental, Social and Governance Issues
Federal Regulatory Adaptations to Digital Assets
Digital Asset Enforcement Activities
Meme Stocks: The SEC response to recent public markets volatility (so far)
New SEC Marketing Rule
Potential Thawing of the Freeze on New SEC Registrations of UK Investment Advisers
SEC and FINRA Broadcast 2021 Exam Priorities
Other Regulatory and Compliance Alerts and Newsletters