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SEC Issues Industry Letter Allowing Insurance Companies to File Certain Financial Statements

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Exchange-Traded Fund Fails to Clear SEC Staff Comment Process Prior to Launch

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SEC Extends Compliance Dates for Amendments to Names Rule

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SEC Charges Investment Advisers for Compliance Failures Relating to Cash Sweep Programs

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SEC Division of Investment Management Releases Guidance on Website Posting Requirements

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SEC Settles with Investment Adviser for Over $100 Million for Misleading Investors About Tax Implications of Retirement Fund Changes

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SEC Staff Issues New Names Rule FAQs

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SEC Charges Investment Adviser with Compliance Policy Failures Regarding its Handling of Material Nonpublic Information

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The ‘40 Act Blog Top 10 of 2024

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Federal Government Shutdown and the SEC: What You Need to Know

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SEC Charges Former Chief Investment Officer of Registered Investment Adviser with Fraud

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SEC Staff Issues Guidance on Tailored Shareholder Reports

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SEC Charges Investment Adviser for Making Misleading ESG-Related Statements

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SEC Charges Robo-Adviser with Marketing Rule Violations

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SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds

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Financial Services Firm Affiliates Settle Five SEC Enforcement Actions for Allegedly Misleading Customers and Failing to Act in their Best Interests

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SEC Charges Investment Company, CEO and Board Member for Alleged Misleading Statements Regarding Use of Artificial Intelligence

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SEC Charges Adviser with Failing to Follow ESG Investment Criteria

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SEC Division of Examinations Releases its 2025 Examination Priorities

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Broker-Dealer Charged in Spoofing Scheme

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SEC Section 13 Enforcement Sweep

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Continued SEC Enforcement Actions Relating to Off Channel Communications

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SEC Settles Charges with Adviser for Fraud Involving Overvaluation of CMOs

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Department of the Treasury Releases New AML/CFT Rule for Investment Advisers

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SEC Enforcement Action Rundown

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SEC Charges Investment Adviser with MNPI-Related Compliance Failures

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SEC Drops Swing Pricing, Adopts Amendments to Form N-PORT and N-CEN and Issues Guidance on Open-End Fund Liquidity Risk Management Programs

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The opinions expressed are those of the author(s) and do not necessarily reflect the views of the firm or its clients, or any of its or their respective affiliates. This article is for general information purposes and is not intended to be and should not be taken as legal advice.