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Regulatory Insights - December 2020

Regulatory updates across financial services.


Regulatory Insights provides a summary of key regulatory and legislative changes taking place across financial services.

This issue includes updates on the following key areas:

SEC leadership changes SEC rulemaking:

  • Tailored Reports and Rule 498B
  • Fund Fair Value Rule
  • Fund Derivatives Rule
  • Fund of Funds

Reg BI Updates PROXY items:

  • Amendments to Modernize Shareholder Proposal Rule
  • NYSE Fee Schedule Proposals

DOL and Retirement items:

  • DOL’s Lifetime Income Rule
  • Financial Factors in Selecting Plan Investments—Final Rule
  • DOL Proxy Voting–Rule Proposal

Other regulatory items:

  • SRD II
  • SEC’s COVID-19 Relief
  • SEC’s Investor Advisory Committee
  • Rule 701 – Proposed Rule Amendments
  • SEC Equity Compensation Proposal
  • Amendments to Modernize and Enhance Certain Disclosures
  • SEC Compliance Alerts
  • Download the full summary for more information.

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