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Articole: 10

  1. Extending Compliance Dates for Form PF

    (Compliance Building)

    The Securities and Exchange Commission and the Commodity Futures Trading Commission jointly agreed to further extend the compliance deadline from October 1, 2026 to July 1, 2027.

  2. The Massive Scope of Digital Asset Investment Scams

    (Compliance Building)

    The U.S.

  3. SEC Proposes Rescission of Political Contribution Rule for Investment Advisers

    (Compliance Building)

    The Securities and Exchange Commission issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from making certain political contributions.

  4. Is Failure to Disclose Misappropriation Committing Securities Fraud?

    (Compliance Building)

    The charges against Mark D.

  5. SEC Sweep of Fake Form ADV Filers

    (Compliance Building)

    The Securities and Exchange Commission charged 38 firms with filing material misrepresentations in their Forms ADV.

  6. New Custody Rule Is On Its Way

    (Compliance Building)

    The Securities and Exchange Commission is continuing its quest to bend over backwards to get crypto assets to the masses.

  7. Can a Farm of Hardwood and Citrus Trees be a Security?

    (Compliance Building)

    Are you new here?

  8. The Corporate Transparency Act is Finally Dead

    (Compliance Building)

    The Treasury Department’s Financial Crimes Enforcement Network published a final rule that removes the requirement for U.S. companies and U.S. persons to report beneficial ownership information to FinCEN under the Corporate Transparency Act.

  9. The SEC 2026 Rulemaking Agenda

    (Compliance Building)

    On July 7, the SEC released its latest regulatory flexibility agenda.

  10. The Alignment Gap: Rethinking Costs in Private Equity Fund Formation

    (Compliance Building)

    The Institutional Limited Partners Association issued new guidance on the longstanding practice of limited partners bearing the cost of fund formation legal expenses.