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Les Abromovitz
Recent Posts
4 minute read
On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examination...
5 minute read
On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...
3 minute read
In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
3 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
5 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
2 minute read
In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...
3 minute read
If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...
2 minute read
On July 27, 2020, the SEC staff Standards of Conduct Implementation Committee (“Committee”) issued...
5 minute read
On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...