Latest Developments

• SEC Publishes 2023 Examination Priorities

Latest Developments: Advisers

• SEC Proposes Changes to the Custody Rule
• SEC Proposes Enhancements to Regulation S-P
• SEC Risk Alert Highlights Deficiencies in Regulation Best Interest Compliance
• Reminder: Wisconsin Continuing Education Requirements in Effect for 2023 for Investment Adviser Representatives

Latest Developments: FUNDS

• SEC Staff Bulletin Addresses Advisory Fee Waivers

Litigation and Enforcement Actions

• Court Vacates DOL Interpretation of "Regular Basis" in Rollover Suit

Compliance Dates for Final Rules

Status of Proposed Rules