sec

On April 9, 2021, the Securities and Exchange Commission’s (“SEC”) Division of Examinations[1]...

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

On February 26, the SEC’s Division of Examinations (the “Division,” formerly known as the Office of...

The SEC recently published a risk alert detailing observations from investment advisors’ and...

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

On December 21, 2020, the SEC’s new exemptive Rule 18f-4, which sets forth the conditions under...