Latest Developments

• SEC Announces 2024 Examination Priorities
• SEC Announces Enforcement Results for Fiscal Year 2023

Latest Developments: Advisers

• SEC Amends Rules Governing Beneficial Ownership Reporting
• SEC Publishes 38 New FAQs on Form ADV
• DOL Proposes New Definition of Investment Advice Fiduciary and Amendments to PTE 2020-02
• Department of Treasury to Repropose AML Rule for Certain Advisers

Litigation/Enforcement Actions

• Supreme Court review of Fifth Circuit decision in Jarkesy v. United States