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November 19, 2024

SEC Charges Robo-Adviser with Marketing Rule Violations

Regulatory Compliance & Enforcement Actions, Investment Advisers
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November 12, 2024

SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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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
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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
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September 12, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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September 6, 2024

SEC Charges Investment Adviser with MNPI-Related Compliance Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers
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August 22, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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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
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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
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May 16, 2024

SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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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
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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
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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
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April 5, 2024

SEC Adopts Amendments to the Internet Adviser Exemption

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 4, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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March 29, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, ETFs
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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
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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
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March 1, 2024

FinCEN Proposes New Rule to Subject Advisers to AML Requirements

Closed-End Funds, Investment Advisers
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February 16, 2024

SEC Staff Updates Marketing Rule FAQs

Regulatory Compliance & Enforcement Actions, Investment Advisers
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February 15, 2024

SEC Settles with Sixteen Firms for Charges of Widespread Recordkeeping Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers
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January 25, 2024

SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades

Regulatory Compliance & Enforcement Actions, Investment Advisers
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January 24, 2024

SEC Settles Charges Against Firm for Alleged Whistleblower Protection Rule Violations

Regulatory Compliance & Enforcement Actions, Investment Advisers
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January 12, 2024

SEC Approves First Round of Bitcoin ETFs

Investment Advisers, ETFs
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January 5, 2024

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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January 3, 2024

The ‘40 Act Blog Top 10 of 2023

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 21, 2023

SEC Releases Staff Report on Definition of Accredited Investor

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers
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December 12, 2023

SEC Issues Updated Fall 2023 Regulatory Agenda

Closed-End Funds, BDCs, Investment Advisers, Mutual Funds, ETFs
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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
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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
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October 17, 2023

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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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
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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
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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
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September 25, 2023

SEC Adopts Amendments to the Fund “Names Rule”

Exchange-Traded Funds (ETFs), Investment Advisers, Mutual Funds
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September 22, 2023

SEC Settles Charges with Nine Advisers in Marketing Rule Sweep

Regulatory Compliance & Enforcement Actions, Investment Advisers
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September 13, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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August 28, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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August 16, 2023

SEC Charges 11 Firms with Widespread Recordkeeping Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers
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August 3, 2023

SEC Proposes Amendments to the Internet Adviser Exemption

Regulatory Compliance & Enforcement Actions, Investment Advisers
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August 2, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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July 20, 2023

SEC Adopts Money Market Fund Reforms

Investment Advisers, Mutual Funds
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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
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June 16, 2023

SEC Charges Adviser and its Principal in Illegal Short Selling Scheme

Regulatory Compliance & Enforcement Actions, Investment Advisers
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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
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May 31, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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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
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May 9, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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May 8, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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May 4, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 20, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 19, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 11, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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April 6, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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March 31, 2023

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

Exchange-Traded Funds (ETFs), Investment Advisers
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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
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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
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March 6, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 28, 2023

SEC Proposes New Safeguarding Rule for Investment Advisers

Exchange-Traded Funds (ETFs), Investment Advisers
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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
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February 10, 2023

SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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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
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January 25, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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January 11, 2023

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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December 14, 2022

ISS Releases Annual Proxy Voting Guideline Updates

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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December 6, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 1, 2022

SEC Adopts Amendments to Increase Proxy Voting Transparency

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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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
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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
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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
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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
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July 22, 2022

SEC Adopts Amendments to Proxy Voting Advice Rules

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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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
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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
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July 1, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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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
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May 23, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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May 4, 2022

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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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
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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
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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
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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
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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
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November 23, 2021

SEC Proposes Rule to Increase Transparency for Securities Lending Transactions

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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November 12, 2021

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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November 11, 2021

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

Regulatory Compliance & Enforcement Actions, Investment Advisers
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November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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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
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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
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December 23, 2020

SEC Amends Rules to Facilitate Electronic Submission of Documents

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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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
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October 5, 2020

SEC Settles Charges Against Investment Adviser for Unlawful Cross Trades

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 16, 2020

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

Investment Advisers, Mutual Funds
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