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Investment Advisers

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

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SEC Division of Examinations Releases its 2025 Examination Priorities

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

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SEC Charges Investment Adviser with MNPI-Related Compliance Failures

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SEC Fines Twenty-Six Firms for Recordkeeping Failures in Latest Off-Channel Communications Sweep

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SEC Adopts Data Privacy Rule Amendments to Regulation S-P

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SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers

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SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees

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SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance

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SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations

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SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date

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SEC Adopts Amendments to the Internet Adviser Exemption

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SEC Settles Charges with Advisers for Marketing Rule Violations Related to AI Washing

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SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest

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Seward & Kissel Advises Guinness Atkinson on the Submission of an Application to Offer ETF Share Classes of its Existing Mutual Funds

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SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF

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FinCEN Proposes New Rule to Subject Advisers to AML Requirements

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SEC Staff Updates Marketing Rule FAQs

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SEC Settles with Sixteen Firms for Charges of Widespread Recordkeeping Failures

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SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades

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SEC Settles Charges Against Firm for Alleged Whistleblower Protection Rule Violations

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SEC Approves First Round of Bitcoin ETFs

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SEC Settles Charges Against Private-Equity Firm for Alleged Disclosure Policy Failures

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The ‘40 Act Blog Top 10 of 2023

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SEC Releases Staff Report on Definition of Accredited Investor

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SEC Issues Updated Fall 2023 Regulatory Agenda

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SEC Staff Grants No-Action Relief Under Section 17 and Rule 17d-1 Thereunder Allowing Fund to Enter Transaction Agreement with New Adviser

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SEC Division of Examinations Releases its 2024 Examination Priorities

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SEC Adopts Amendments to Beneficial Ownership Reporting Rules

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SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

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SEC Settles Charges with Mutual Fund Adviser for AML Related Violations

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SEC Proposes Changes to EDGAR Filer Access and Account Management

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SEC Adopts Amendments to the Fund “Names Rule”

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SEC Settles Charges with Nine Advisers in Marketing Rule Sweep

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SEC Issues a Risk Alert Providing Details on the Investment Adviser Examination Process

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SEC Reopens Comment Period for Proposal on New Safeguarding Rule for Investment Advisers

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SEC Charges 11 Firms with Widespread Recordkeeping Failures

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SEC Proposes Amendments to the Internet Adviser Exemption

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SEC Proposes New Rules Concerning Investment Adviser and Broker-Dealer Use of Predictive Data Analytics

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SEC Adopts Money Market Fund Reforms

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SEC Settles Charges with Registered Adviser for Disclosure and Policy and Procedure Violations

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SEC Charges Adviser and its Principal in Illegal Short Selling Scheme

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SEC Adopts Rules to Prevent Fraud and Undue Influence over CCOs in connection with Security-Based Swap Transactions

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SEC Settles Charges with Registered Investment Adviser over Valuation Policies and Procedures

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SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies

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SEC Charges Adviser and Fund Trustees in First Case Enforcing Liquidity Rule

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SEC Settles Charges With Adviser for Breach of Fiduciary Duty Relating to Leveraged ETF Investments

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SEC Staff Issue Risk Alert on Safeguarding Customer Records and Information at Branch Offices

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SEC Settles Charges Against Adviser for Misstatements About Tax Loss Harvesting Service

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SEC Settles Charges with Adviser for Failure to Disclose Conflicts of Interest Related to SPACs

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SEC Settles Charges Against Investment Adviser for Improper Fixed Income Securities Trading

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SEC Settles Charges with Adviser for Failure to Disclose Foreign Currency Exchange Fees

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SEC Staff Release Statement on Risk Legend Used by Non-transparent ETFs

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SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds

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SEC Proposes Amendments to Regulation S-P

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SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties

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SEC Proposes New Safeguarding Rule for Investment Advisers

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SEC Division of Examinations Releases its 2023 Examination Priorities

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SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

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SEC Settles Charges with Security Valuation Provider for Providing Misleading Disclosures About Its Valuation Methodologies

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Investment Adviser Charged for Failing to Disclose Revenue Sharing Arrangements and Related Conflicts of Interest

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Former Fund Portfolio Manager Charged for Failing to Disclose Conflict of Interest

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ISS Releases Annual Proxy Voting Guideline Updates

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SEC Charges Investment Adviser with ESG-Related Policy and Procedure Failures

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SEC Adopts Amendments to Increase Proxy Voting Transparency

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SEC Settles Charges Against Investment Adviser for Failing to Implement Adequate Proxy Voting Policies and Procedures

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Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule

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IM Director Birdthistle Speech On Swing Pricing, LIBOR and MiFID/Broker-Dealer IA Relief

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SEC Approves First Single-Stock ETFs in US; More Are in the Pipeline

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SEC Adopts Amendments to Proxy Voting Advice Rules

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Investment Adviser and CCO Failed to Respond to Red Flags Surrounding Investment Adviser Representative’s Outside Business Activities

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SEC Adopts Rule Amendments Requiring Electronic Filing of Certain Documents and Form Amendments to Modernize Form 13F

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SEC Seeks Public Comment on Whether Information Providers Are Acting as Investment Advisers

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SEC Proposes Amendments to Fund “Names Rule” and Proposes Amendments Concerning ESG Investment Practices

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SEC Charges Investment Adviser and Three Portfolio Managers in Connection with Multibillion Dollar Securities Fraud

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SEC Division of Examinations Issues Risk Alert on Investment Adviser MNPI Compliance Deficiencies

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SEC Announces 2022 Examination Priorities

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Financial Services Company Fined $100 Million and Agrees to Pursue Registration of its Crypto Lending Product

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SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

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SEC Proposes Rules and Amendments to Enhance Cybersecurity Preparedness of Investment Advisers and Investment Companies

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SEC Chair Gary Gensler Highlights Opportunities to Strengthen Cybersecurity Practices of Investment Companies and Advisers in Speech

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SEC Proposes Amendments to Rule 10b5-1 and Enhanced Disclosures Relating to Rule 10b5-1 Trading Plans in Issuer Reports and Certain Section 16 Reporting Forms

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SEC Proposes Rule to Increase Transparency for Securities Lending Transactions

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SEC Division of Examinations Issues Risk Alert on Investment Adviser Fee Calculations

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SEC Division of Examinations Staff Issues Risk Alert for Advisers that Provide Electronic Investment Advice

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SEC Proposes Amendments to Update Electronic Filing Requirements

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SEC Staff Issues Bulletin Setting Forth Views on Shareholder Proposal Rule; New Approach Expected to Result in More ESG Proposals

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Independent Directors Council Submits Comment Letter on Federal Trade Commission’s Proposed Amendments to Premerger Notification Requirements

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SEC Amends Rules to Facilitate Electronic Submission of Documents

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SEC Settles Charges Against Investment Advisory Firms and Dually-Registered Broker-Dealer and Investment Adviser Firms Related to Sales of Complex Exchange-Traded Products

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SEC Settles Charges Against Investment Adviser for Unlawful Cross Trades

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SEC’s Division of Investment Management Issues Information Update on Exemptive Application Hearing Requests

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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.