Practus Perspective is a periodic journal of Practus news and viewpoints across a range of legal issues.



OCC 2021 Fiscal Year Bank Supervision Operating Plan

SEC Enforces Action On Books & Records Provision Of Advisers Act

CFTC Approves Changes to Form CPO-PQR

September Monitor Mondays RAC Report Recap

SEC Enforces Compliance Program Rule Violation Against Adviser and CCO

SEC Proposes Amendments to Mutual Fund and ETF Disclosure Framework

SEC Modernizes Accredited Investor & QIB Definitions

August RAC Report Recap | Knicole Emanuel

Partner, John Grady’s Interview on NASDAQ Trade Talks

OCIE Issues Risk Alert About Compliance in the COVID-19 Era

SEC Proposed Amendments to Section 13(f) Reporting Requirements

The US Department of Labor’s new “Investment Duties” rule

SEC Sanctions Affiliated Advisers for Errors & Violations

SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Securities Offering Reform for Closed-End Investment Companies

SEC Extends In-Person Board Meeting Relief

SEC Staff Withdraws Prior No-Action Letter

Pressure Mounts on SEC to Set Standards

Read Ethan Corey’s Article in the May edition of The Investment Lawyer

The New Normal

Practus Sees Tremendous Growth at Two-Year Mark

Risk Management and Marketing during COVID-19

SEC Proposes to Modernize Framework for Fund Valuation Practices

Life Insurance Post COVID-19

Making Long-Term Remote Arrangements Benefit our Clients

Applying Client Standards in COVID-19 Environment

COVID-19 Long Term Challenges on Life Insurers

COVID-19 Implications on the Life Insurance Industry

Taking the @Home Practice of Law to the Next Level

OCIE Publishes Reg BI, Form CRS Risk Alerts

SEC Explores Improving Rule 35d-1 for Socially Responsible Investments

COVID 19 Relief

Practicing Law from Home in the Time of Coronavirus

T&M Issues Regulation Best Interest FAQs

OCIE Issues 2020 National Examination Program Priorities

Four New Team Members Join Practus

SEC Proposes Amendments to Accredited Investor & QIB

SEC Reproposes Fund Derivatives Rule; Proposes New Sales Rules Governing Trading In Certain Leveraged Investments

2020 Starting Line Event Hosted by Philadelphia Team

5 Year-End Tax Tips for 2019

SEC Amends Investment Adviser Advertising & Solicitation Rules

Tips to Keep in Mind When Setting up a Solo Law Practice

SEC Staff Extends SIFMA No-Action Letter for 3 Years

SEC Issues New ETF Rule and Adopts Form Amendments

Email Ad Infinitum: Rightsizing Your Inbox

Technology is Reshaping the Workplace

Is Working Remotely Right for You: A Guide for Lawyers

IM Issues ADI Highlighting Fee and Performance Issues

Disclosure Innovations in Advertising and Other Public Communications

Ethan Corey’s September Article In The Investment Lawyer

SEC Suggests Steps to Improve Principal Risks Disclosures

OCIE Risk Alert for Principal & Cross Trading Compliance

Broker-Dealer Exemptive Relief Overview

Proxy Voting Responsibilities of Investment Advisers

Steps to Taking the Solo Practitioner Leap for Attorneys

Mother, May I? The SEC Declares War on the Use of “May”

Financial Advisors: What is Your Relationship with Technology?

Three More Attorneys Join Practus

Feds Nix ‘flicts for Brokers and Advisers

Unhappy at Your Law Firm? How to Determine When to Make a Change

Reducing Stress as a Lawyer: Avoiding Lawyer Burnout

Is Work-Life Balance Supposed to be 50/50?

Revolutionizing the Traditional Law Firm

Evening the Scales: Work-Life Balance in Law

Meet Our New Attorneys!

Visionary Law Firm, Practus Celebrates One-Year Anniversary

Corporate Governance: How Delaware Law Interacts with Federal Securities

What You Personally Have To Know About Regulatory Compliance

An Analysis of the SEC’s Proposed Fund of Funds Rule

Client Relationship Tips from OCIE Risk Alert on Privacy


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Practus, LLP