SEC and CFTC Close Out Fiscal Years
The third quarter will mark the end of FYE 2020 for the CFTC and the SEC (the “Regulators”). They will be releasing statistics on enforcement actions and other priorities...... More »
SEC Releases Final Amendments to “Accredited Investor” and “Qualified Institutional Buyer” Definitions
On August 26, the Securities and Exchange Commission (“SEC”) adopted amendments to modernize the definitions of “accredited investor” and “qualified institutional buyer.” Both sets of amendments expand the list...... More »
2020 Candidates Challenge Proposed DOL Fiduciary Rule and Reg BI
Each election year, pundits take aim at the financial industry and representatives from both sides of the aisle tout their respective versions of regulatory reform. This election cycle is...... More »
Greyline Insights – August 2020
In This Issue As the summer winds down and we move toward the fall, we find ourselves more virtually connected than ever because of COVID-19. The pandemic caused an...... More »
SEC Creates Event and Emerging Risk Exam Team
On July 28, the SEC announced the creation of the Event and Emerging Risks Examination Team (“EERT”) as part of its Office of Compliance Inspections and Examinations (“OCIE”). The...... More »