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On April 9, 2021, the Securities and Exchange Commission’s (“SEC”) Division of Examinations[1]false
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On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examinationfalse
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On February 26, the SEC’s Division of Examinations (the “Division,” formerly known as the Office offalse
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The SEC recently published a risk alert detailing observations from investment advisors’ andfalse
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On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisementsfalse
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On December 21, 2020, the SEC’s new exemptive Rule 18f-4, which sets forth the conditions underfalse
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Effective February 1, 2021, New York will require Investment Advisor Representatives (IARs) tofalse
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In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreachfalse
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On December 3, 2020, the Securities and Exchange Commission announced the approval of new Rulesfalse