Latest Developments

• SEC Announces 2021 Examination Priorities

Latest Developments: Funds

• SEC Issues Statement and FAQ on Cross Trading
• SEC Announces Enforcement Task Force Focused on Climate and ESG Issues

Latest Developments: Advisers

• Final DOL Exemption and Guidance on Fiduciary Investment Advice in Connection with Rollover Recommendations
• SEC Publishes New Form CRS FAQs
• Securities Investments that Finance Communist Chinese Military Companies
• Division of Examinations Publishes Risk Alert Regarding Continued Focus on Digital Asset Securities