The 40 Act Blog | Investment Advisers

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December 20, 2024

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

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

December 6, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

December 5, 2024

SEC Staff Issues Guidance on Tailored Shareholder Reports

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs

November 27, 2024

SEC Charges Investment Adviser for Making Misleading ESG-Related Statements

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 19, 2024

SEC Charges Robo-Adviser with Marketing Rule Violations

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 12, 2024

SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

November 5, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 1, 2024

SEC Division of Examinations Releases its 2025 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

September 12, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

September 6, 2024

SEC Charges Investment Adviser with MNPI-Related Compliance Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers

August 22, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

June 7, 2024

SEC Adopts Data Privacy Rule Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds

May 28, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

May 16, 2024

SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

May 7, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 24, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 18, 2024

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

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds

April 5, 2024

SEC Adopts Amendments to the Internet Adviser Exemption

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 4, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

March 29, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, ETFs

March 14, 2024

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

Investment Advisers, Mutual Funds, ETFs

March 4, 2024

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

Exchange-Traded Funds (ETFs), Regulatory Compliance & Enforcement Actions, Investment Advisers

March 1, 2024

FinCEN Proposes New Rule to Subject Advisers to AML Requirements

Closed-End Funds, Investment Advisers

February 16, 2024

SEC Staff Updates Marketing Rule FAQs

Regulatory Compliance & Enforcement Actions, Investment Advisers

February 15, 2024

SEC Settles with Sixteen Firms for Charges of Widespread Recordkeeping Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers

January 25, 2024

SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades

Regulatory Compliance & Enforcement Actions, Investment Advisers

January 24, 2024

SEC Settles Charges Against Firm for Alleged Whistleblower Protection Rule Violations

Regulatory Compliance & Enforcement Actions, Investment Advisers

January 12, 2024

SEC Approves First Round of Bitcoin ETFs

Investment Advisers, ETFs

January 5, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

January 3, 2024

The ‘40 Act Blog Top 10 of 2023

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

December 21, 2023

SEC Releases Staff Report on Definition of Accredited Investor

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers

December 12, 2023

SEC Issues Updated Fall 2023 Regulatory Agenda

Closed-End Funds, BDCs, Investment Advisers, Mutual Funds, ETFs

November 6, 2023

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

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

October 26, 2023

SEC Division of Examinations Releases its 2024 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

October 17, 2023

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs

October 10, 2023

SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs

October 6, 2023

SEC Settles Charges with Mutual Fund Adviser for AML Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs

September 29, 2023

SEC Proposes Changes to EDGAR Filer Access and Account Management

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs

September 25, 2023

SEC Adopts Amendments to the Fund “Names Rule”

Exchange-Traded Funds (ETFs), Investment Advisers, Mutual Funds

September 22, 2023

SEC Settles Charges with Nine Advisers in Marketing Rule Sweep

Regulatory Compliance & Enforcement Actions, Investment Advisers

September 13, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

August 28, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

August 16, 2023

SEC Charges 11 Firms with Widespread Recordkeeping Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers

August 3, 2023

SEC Proposes Amendments to the Internet Adviser Exemption

Regulatory Compliance & Enforcement Actions, Investment Advisers

August 2, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

July 20, 2023

SEC Adopts Money Market Fund Reforms

Investment Advisers, Mutual Funds

June 21, 2023

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

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

June 16, 2023

SEC Charges Adviser and its Principal in Illegal Short Selling Scheme

Regulatory Compliance & Enforcement Actions, Investment Advisers

June 9, 2023

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

Investment Advisers, Mutual Funds

May 31, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

May 17, 2023

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

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs

May 9, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

May 8, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

May 4, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 20, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 19, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 11, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

April 6, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

March 31, 2023

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

Exchange-Traded Funds (ETFs), Investment Advisers

March 22, 2023

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

Business Development Companies, Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

March 21, 2023

SEC Proposes Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

March 6, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

February 28, 2023

SEC Proposes New Safeguarding Rule for Investment Advisers

Exchange-Traded Funds (ETFs), Investment Advisers

February 15, 2023

SEC Division of Examinations Releases its 2023 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

February 10, 2023

SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

February 6, 2023

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

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

January 25, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

January 11, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

December 14, 2022

ISS Releases Annual Proxy Voting Guideline Updates

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds

December 6, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

December 1, 2022

SEC Adopts Amendments to Increase Proxy Voting Transparency

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds

September 30, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

September 23, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

August 4, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

July 28, 2022

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

Exchange-Traded Funds (ETFs), Regulatory Compliance & Enforcement Actions, Investment Advisers

July 22, 2022

SEC Adopts Amendments to Proxy Voting Advice Rules

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

July 19, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

July 1, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

July 1, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

May 31, 2022

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

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds

May 23, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

May 4, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

February 24, 2022

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

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

February 17, 2022

SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

February 11, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

February 1, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

December 17, 2021

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

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

November 23, 2021

SEC Proposes Rule to Increase Transparency for Securities Lending Transactions

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

November 12, 2021

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 11, 2021

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

November 8, 2021

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

February 8, 2021

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

December 23, 2020

SEC Amends Rules to Facilitate Electronic Submission of Documents

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds

November 24, 2020

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

Regulatory Compliance & Enforcement Actions, Investment Advisers

October 5, 2020

SEC Settles Charges Against Investment Adviser for Unlawful Cross Trades

Regulatory Compliance & Enforcement Actions, Investment Advisers

April 16, 2020

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

Investment Advisers, Mutual Funds

Investment Advisers

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