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    SEC OCIE risk alert

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    7 Key Takeaways from SEC Observations on Industry Cybersecurity and Resiliency Practices

    The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations...

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    SEC’s 2020 Priorities Give Firms 20/20 View of Upcoming Examinations

    On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced...

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    SEC Proposes New Accredited Investor Definition

    On December 18, 2019, the SEC proposed an updated accredited investor definition. Accredited...
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    time 4 minute read

    SEC Moves Forward with New Advertising and Solicitation Rules

    On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...
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    time 2 minute read

    Securities and Exchange Commission Issues “Dear CFO Letter” and Forms Accounting Matters Bibliography for Investment Companies

    On November 22, 2019 the staff of the Chief Accountant’s Office of the Securities and Exchange...
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    The New ETF Rule 6c-11

    Today the SEC announced the approval of the new ETF rule 6c-11 designed to modernize the regulation...
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    7 Key Takeaways from SEC Observations on Industry Cybersecurity and Resiliency Practices

    Foreside | Feb 12, 2020 12:15:50 PM

    SEC’s 2020 Priorities Give Firms 20/20 View of Upcoming Examinations

    Les Abromovitz | Jan 14, 2020 2:06:02 PM

    SEC Proposes New Accredited Investor Definition

    Les Abromovitz | Jan 9, 2020 7:51:01 AM

    SEC Moves Forward with New Advertising and Solicitation Rules

    Les Abromovitz | Dec 30, 2019 10:02:03 AM

    Securities and Exchange Commission Issues “Dear CFO Letter” and Forms Accounting Matters Bibliography for Investment Companies

    Joshua Hunter | Dec 16, 2019 3:02:19 PM

    The New ETF Rule 6c-11

    Chris Lanza | Sep 26, 2019 7:41:02 PM

    SEC Clarifies RIAs’ Proxy Voting Responsibilities

    Les Abromovitz | Sep 16, 2019 2:11:00 PM

    SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

    Douglas Kamin | Sep 9, 2019 9:59:40 AM

    How Testimonials & Accolades Can Create Unexpected Compliance Problems

    Les Abromovitz | Aug 23, 2019 8:16:00 AM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.