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Artificial Intelligence

SEC Proposes Rule to Eliminate or Neutralize Conflicts of Interest in the Use of “Predictive Data Analytics” Technologies

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On July 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules (the “Proposed Rules”) that would require broker-dealers and investment advisers (collectively, “firms”) to evaluate their use…

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Regulation

SEC Adopts New Cybersecurity Rules for Issuers – Part 2 Key Takeaways

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On July 26, 2023, the SEC adopted long-anticipated final rules on cybersecurity risk management, strategy, governance and incident disclosure for issuers (“Final Rules”). We summarized the key obligations under the…

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Cybersecurity

SEC Adopts New Cybersecurity Rules for Issuers

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On July 26, 2023, the SEC adopted the long-anticipated final rules on cybersecurity risk management, strategy, governance, and incident disclosure for issuers. The new rules are part of the SEC’s larger efforts focused…

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Cybersecurity

A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations

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On March 15, 2023, the U.S. Securities and Exchange Commission (the “SEC”) released a suite of proposed new rules (the “Proposed Rules”) that include: Proposed new cybersecurity rules for broker-dealers,…

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Cybersecurity

Preparing for the SEC’s Cybersecurity Rules for Registered Investment Advisers, Registered Investment Companies, and Business Development Companies

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In February 2022, the SEC proposed its first-ever cybersecurity rules for registered investment advisers (“RIAs”) (including RIAs to private funds) and Funds (which include registered investment companies (“RICs”) and closed-end…

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