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Investment Advisers

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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.