NEWS

PRACTUS PERSPECTIVE

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

LATEST POSTS

SEC Staff Again Focuses on Principal and Cross Trades In Latest Risk Alert

FINRA Levies Record Fine Against Robinhood Financial

SEC Releases 2021 Regulatory Agenda

The Latest Guidance from the White House Regarding Cybersecurity

PRACTUS, LLP AND AUXANA INC. FORM STRATEGIC PARTNERSHIP

SPAC Facts: What is a SPAC? | Part 1

Glossary of SPAC Terms

EEOC Issues Updated Guidance to Employers Related to COVID-19 Vaccines

Division of Examinations Issues Digital Asset Risk Alert

Practus Celebrates Continued Growth at Three-Year Mark

Does Your Company Really Need a Privacy Notice?

New SEC Chair Confirmed

Why Broker-Dealers & Investment Advisers Should Care About Privacy & Cybersecurity

Legal Insights Work-Life Balance

Practicing Law Virtually Is Changing The Career Path of Attorneys

SEC Division of Examinations Issues ESG Risk Alert

Promoting De Novo Banks

Biden Administration Rescinds Policy on UDAAP Enforcement

SEC and FINRA Continue to Focus on AML Deficiencies

Practus Summary: FINRA Examination Priorities for 2021

CTO Tips to Backing Up Your Computer & Devices in 2021

SEC’s Division Of Examinations Issues 2021 National Examination Program Priorities

Four Helpful Tax Tips for This Year

MFCU Oversight Expected to Increase Due to Poor 2020 Performance

Legal Insights Practus News

Alex Alberstadt’s Mutual Fund To ETF Interview On Nasdaq #TradeTalks

Legal Insights Practus News

Alexandra Alberstadt Discusses First Mutual Fund to ETF Conversion

Beware the Ides of March! And Medicare Provider Audits!

Legal Insights Practus News

The First Mutual Fund to ETF Conversion on Behalf of SmartETFs is Underway

The Lumen Sessions Podcast Featuring John Lively & Bob Elwood

PET Scans & Helicopter Transportation | A Monitor Mondays Feature

Summary: SEC Adopts Amendments to Investment Adviser Marketing Rule

Definition of an Advertisement Under the Investment Adviser Marketing Rule

General Prohibitions Under the Investment Adviser Marketing Rule

Performance Presentations Under the Investment Adviser Marketing Rule

Third-Party Ratings Under the Amended Investment Adviser Marketing Rule

Compliance Reviews, Form ADV Amendments & Recordkeeping Requirements | Investment Adviser Advertisements

Using Models and AI in Consumer Lending

Taking Stock of Threshold-Based Filing Obligations

Legal Insights Practus News

Practus Attorneys Wrap Up 2020 With Several News Features

Knicole Emanuel to Host January Webcast On PRFs and RAC Audits

SEC Adopts Fund Valuation Rule

November Monitor Mondays RAC Report Recap | Knicole Emanuel

SEC Charges Investment Advisory Firms and Broker-Dealers With Exchange-Traded Product Violations

Fund Valuation Rule Likely to Reduce Mutual Fund Fixed Income Cross Trades

OCIE Observations: Investment Adviser Compliance Programs

Andrea Shaw on Addressing Cybercrimes | NASDAQ Trade Talks Part 2

Andrea Shaw on SMB Cybersecurity | NASDAQ Trade Talks Part 1

OCIE Observations from Examinations of Investment Advisers

Department of Labor Issues Final Rule on Fiduciary Duties

Medicare & Medicaid Law and RAC Report Recap | Knicole Emanuel

Q&A: SEC Modernizes Fund Derivatives Rule 18f-4

SEC Modernizes Requirements for Funds’ Use of Derivatives and Other Transactions

SEC Adopts Fund of Funds Rule 12d1-4 | Ethan Corey

Designing a Non-US Investor’s US Loan Investment Program

SEC Adopts Fund Derivatives Rule

SEC Enforcement Action Involving Unlawful Cross Trades & Principal Transactions

OCC 2021 Fiscal Year Bank Supervision Operating Plan

SEC Enforcement 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

Legal Insights Practus News

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

Legal Insights Practus News

Pressure Mounts on SEC to Set Standards

Legal Insights Practus News

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

The New Normal

Practus News Work-Life Balance

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

Practus News Work-Life Balance

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

Practus News Work-Life Balance

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

Practus News Work-Life Balance

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

Legal Insights Practus News

2020 Starting Line Event Hosted by Philadelphia Team

SEC Amends Investment Adviser Advertising & Solicitation Rules

Work-Life Balance

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

Work-Life Balance

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

Legal Insights Practus News

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 (Sept 2019)

Broker-Dealer Exemptive Relief Overview

Proxy Voting Responsibilities of Investment Advisers

Work-Life Balance

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

Work-Life Balance

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

Work-Life Balance

Reducing Stress as a Lawyer: Avoiding Lawyer Burnout

Work-Life Balance

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

Practus News Work-Life Balance

Revolutionizing the Traditional Law Firm

Work-Life Balance

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

Practus, LLP