By: Thoreau A. Bartmann, Richard W. Burnett, Ruth E. Delaney, Lance C. Dial, Pablo J. Man, and Sarah V. Riddell
On 20 April 2026, the SEC and CFTC jointly proposed yet another round of amendments to Form PF to eliminate filing obligations for many private fund advisers and reduce burdens for many of those who remain subject to the form.
Read MoreBy: Thoreau A. Bartmann, Meghan E. Flinn, Theodore L. Kornobis, and Neil T. Smith
On 7 April 2026, the SEC announced its fiscal year 2025 enforcement results, speaking not only to key actions from the past year but also to its vision for enforcement going forward. The results were the first from the commission under Chairman Atkins, and featured several notable elements:
Read MoreBy: Thoreau A. Bartmann, Jessica D. Cohn, and Kevin R. Gustafson
With this fourth SEC approval, share class ETFs are now ready to go live.
Read MoreBy: Thoreau A. Bartmann, Lance C. Dial, Todd S. Fishman, Pablo J. Man, and Sarah V. Riddell
Prediction markets and event contracts have gone mainstream. Prediction market platforms offer contracts on virtually any event you can imagine, and increasingly advisers and their personnel, including portfolio managers, are signing up. If your compliance program hasn’t caught up to the issues that prediction markets raise, you may have a problem you don’t know about yet.
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