Month: February 2022

Securities and Exchange Commission
Brokers Compliance News

Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds

The SEC has proposed cybersecurity risk management rules for registered investment advisers, and registered investment companies and business development companies (funds), as well as amendments to certain rules that govern investment adviser and fund disclosures. “Cyber risk relates to each part of the SEC’s three-part mission, and in particular to […]


SEC Issues Proposal to Reduce Risks in Clearance and Settlement

The Securities and Exchange Commission today voted to propose rule changes to reduce risks in the clearance and settlement of securities, including by shortening the standard settlement cycle for most broker-dealer transactions in securities from two… Read the Full Press Release Have a securities law question? Call New York Securities […]