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<a href="/insights-events/fincen-adopts-final-rule-extending-anti-money-laundering-compliance-program-requirements-to-certain-investment-advisers/">FinCEN Adopts Final Rule Extending Anti-Money Laundering Compliance Program Requirements to Certain Investment Advisers</a>

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<a href="/insights-events/sec-amends-form-n-port-and-n-cen-reporting-requirements-and-issues-guidance-on-open-end-fund-liquidity-risk-management-programs/">SEC Amends Form N-PORT and N-CEN Reporting Requirements and Issues Guidance on Open-End Fund Liquidity Risk Management Programs</a>

<a href="/insights-events/fdic-proposes-rule-amendments-to-expand-its-role-in-reviewing-depository-institution-holding-company-acquisitions/">FDIC Proposes Rule Amendments to Expand Its Role in Reviewing Depository Institution Holding Company Acquisitions</a>

<a href="/insights-events/district-court-issues-injunction-against-missouri-esg-rules/">District Court Issues Injunction Against Missouri ESG Rules</a>

<a href="/insights-events/sec-settles-enforcement-proceedings-against-adviser-for-alleged-whistleblower-protection-rule-violations/">SEC Settles Enforcement Proceedings Against Adviser for Alleged Whistleblower Protection Rule Violations</a>

<a href="/insights-events/sec-settles-enforcement-proceedings-against-adviser-for-allegedly-misleading-investors-regarding-investment-strategy/">SEC Settles Enforcement Proceedings Against Adviser for Allegedly Misleading Investors Regarding Its Investment Strategy</a>

<a href="/insights-events/sec-settles-enforcement-proceedings-against-adviser-for-alleged-marketing-rule-violation/">SEC Settles Enforcement Proceedings Against Nine Advisers for Alleged Marketing Rule Violations</a>

<a href="/insights-events/sec-settles-enforcement-proceedings-against-adviser-regarding-alleged-pay-to-play-political-contribution-10-2024/">SEC Settles Enforcement Proceedings Against Adviser Regarding Alleged “Pay-to-Play” Political Contribution</a>

<a href="/insights-events/sec-settles-enforcement-proceedings-against-adviser-broker-dealer-for-alleged-fiduciary-duty-breachs-related-to-receipt-of-revenue-sharing-payments-from-third-party-broker-dealer/">SEC Settles Enforcement Proceedings Against Adviser/Broker-Dealer for Alleged Fiduciary Duty Breaches Related to Receipt of Revenue Sharing Payments from Third-Party Broker-Dealer</a>

Investment Services Regulatory Update October 2024

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