Happy New Year! Going forward, I will aim to issue this report on a quarterly basis. Below is a summary of select August-to-December 2021 regulatory developments for investment advisers, broker-dealers and other securities market participants. Topics include SEC staffing, an SEC request on digital engagement practices and technology usage, SEC

Below are summaries of June and July 2021 regulatory developments that may be of interest to investment advisers, broker-dealers, public companies, and other securities market participants. Topics include SEC staffing, an overhaul of the PCAOB, SEC rulemaking, SEC Risk Alerts, and SEC enforcement activity. Send any comments or questions to mscanlon@mpslgl.com

Below are summaries of April and month-to-date May 2021 regulatory developments that may be of interest to investment advisers, broker-dealers and other securities market participants. SEC Staffing Changes Gary Gensler becomes new SEC Chair on April 17 and appoints initial senior staff members a few days later. Corporate lawyer Alex Oh is

Below are summaries of March 2021 regulatory developments, including enforcement activity, that may be of interest to SEC-registered investment advisers and other securities market participants. ESG at the SEC                                                             The SEC’s ESG focus has implications for enforcement, examinations, and public company disclosures. SEC Commissioners Peirce and Roisman and Senator Toomey express

Inaugural Issue: Welcome to the first issue of FS Spotlight, a report that summarizes select financial services regulatory developments, particularly those affecting SEC-registered investment advisers. Please see the note at the end for defined terms, and send feedback to (mscanlon@mpslgl.com). This is Issue #1, dated 2/26/2021. Introduction. This issue summarizes SEC