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investment adviser
1 minute read
The proliferation of mutual fund share classes has placed a large administrative burden on...
4 minute read
On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...
3 minute read
On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliance...
3 minute read
On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarized...
3 minute read
On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...
1 minute read
SEC announces new “smaller fund outreach effort”
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5 minute read
SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs
On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationship...
4 minute read
On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections and...