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5 minute read
On April 9, 2021, the Securities and Exchange Commission’s (“SEC”) Division of Examinations[1]...
4 minute read
On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examination...
5 minute read
On February 26, the SEC’s Division of Examinations (the “Division,” formerly known as the Office of...
4 minute read
The SEC recently published a risk alert detailing observations from investment advisors’ and...
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...