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November 23, 2022 at 12:32 PM
William Birdthistle, head of the Securities and Exchange Commission’s Division of Investment Management, discussed at the agency’s recent National Compliance Seminar four “significant” rules that the SEC has tackled in the last few weeks — including two that the agency adopted.
Birdthistle also noted the recent Nov. 4 compliance date for the SEC’s new Marketing Rule. He called the new marketing rule one of the agency’s more “ambitious” rulemakings, and stated: “I would very much encourage a rigorous compliance with the rule.”
Regulation Best Interest and the Advisers Act fiduciary duty also “remains a top priority” for SEC exams in 2023, Richard Best, head of the Division of Exams, said at the seminar.
See the gallery for the four rules the agency has tackled recently.
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