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4 minute read
The SEC recently published a risk alert detailing observations from investment advisors’ and...
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1 minute read
Several states adopted measures granting temporary relief to investment advisor registrants...
5 minute read
On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...
3 minute read
On December 21, 2020, the SEC’s new exemptive Rule 18f-4, which sets forth the conditions under...
1 minute read
Effective February 1, 2021, New York will require Investment Advisor Representatives (IARs) to...
3 minute read
In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
2 minute read
On December 3, 2020, the Securities and Exchange Commission announced the approval of new Rules...
2 minute read
Given the ongoing uncertainties related to the pandemic, broker-dealer firms have been monitoring...
3 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...