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March 27, 2025
Common SEC Exam Issues for Large Advisors and How to Avoid Them
March 26, 2025
Exchange-Traded Fund Fails to Clear SEC Staff Comment Process Prior to Launch
March 25, 2025
Update: U.S. Companies and U.S. Persons No Longer Required to Provide Beneficial Ownership Information under the Corporate Transparency Act.
March 24, 2025
SEC Staff Updates FAQs Regarding Marketing Rule Compliance – Gross and Net Performance
March 18, 2025
When a Complaint Is Actually Frivolous: Threatening To Seek Rule 11 Sanctions as an Appropriate and Effective Strategy
March 17, 2025
SEC Extends Compliance Dates for Amendments to Names Rule
March 12, 2025
CFTC’s Spring Cleaning: Let’s Make a Deal (Quickly)
March 6, 2025
It’s Cool to Be In-Kind: Tax and Non Tax Considerations of In Kind Distributions of Partnership Property
March 6, 2025
OFAC Announces Wind Down of Chevron’s Oil Operations in Venezuela
March 5, 2025
Treasury Department Confirms: No Fines or Penalties in Connection with BOI Reporting Deadlines
March 5, 2025
FDIC Withdraws Pending Proposed Rule on Brokered Deposits
March 3, 2025
SEC Extends Compliance Dates for UST Repo and Cash Transaction Clearing Rule
March 4, 2025
Seward & Kissel Releases Business Transactions Group 2024 Year in Review
February 26, 2025
TRUMP ADMINISTRATION PROPOSES STEEP FEES ON CHINESE SHIPPING AND OPERATORS OF CHINESE-BUILT VESSELS
February 26, 2025
SEC Charges Investment Advisers for Compliance Failures Relating to Cash Sweep Programs