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On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examination...

On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...

In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...

If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...

On July 27, 2020, the SEC staff Standards of Conduct Implementation Committee (“Committee”) issued...

On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...