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SEC Releases
SEC Division of Examinations Releases 2023 Priorities | 7 Takeaways
February 08, 2023SEC Releases Brief Introduction On February 7th, the SEC Division of Examinations announced its priorities for 2023. This contains a significant number[...]
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SEC Releases
SEC Issues Risk Alert Related to Regulation Best Interest
February 02, 2023SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has[...]
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SEC Releases
Commissioner Uyeda Discusses ESG In Depth | SEC Releases
February 01, 2023SEC Releases Brief Introduction SEC Commissioner, Mark Uyeda, made multiple remarks on January 27th related to the use of environmental,[...]
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SEC Releases
Firm Charged $5 Million for Misleading Disclosures
January 30, 2023SEC Releases Brief Introduction On January 23rd, the SEC charged a firm five million dollars for misleading disclosures. The firm provided a subscription[...]
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SEC Releases
SEC Updates Marketing Rule FAQs
January 12, 2023SEC Releases On January 11th, the SEC released updated Marketing Rule FAQs. See below for key takeaways. Key Takeaways from[...]
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SEC Releases
Portfolio Manager Fined $250,000 for Undisclosed Conflict of Interest
January 10, 2023SEC Releases Brief Introduction On January 5th, the SEC charged a Portfolio Manager $250,000 for failing to disclose a conflict of[...]
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SEC Releases
5 Rules Released by the SEC Makes Waves for the Industry
December 15, 2022SEC Releases Brief Introduction On December 14th, the SEC provided one adopted amendment, two proposed amendments, and two proposed rules. The[...]
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SEC Releases
RIA Censured for Compliance Failures | SEC Fines
December 13, 2022SEC Releases Brief Introduction A Registered Investment Adviser was censured and fined $75,000, and its CEO/CCO was fined $25,000, after multiple compliance[...]
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SEC Releases
SEC Risk Alert for Identity Theft Under Regulation S-ID
December 06, 2022SEC Releases Brief Introduction The SEC published a risk alert on December 5th related to Regulation S-ID after recent Compliance Examinations of Investment Advisers[...]
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SEC Releases
SEC Announces Strategic Plan for 2022-2026
November 29, 2022SEC Releases Brief Introduction The SEC published a 16-page document highlighting their strategic plan for 2022 through 2026. In addition to[...]
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SEC Releases
SEC Charges $4 Million Over Investments Misrepresented as ESG
November 23, 2022SEC Releases Brief Introduction On November 22nd 2022, the SEC charged a major investment firm $4 Million dollars in relation to their management[...]
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SEC Releases
$6.4 Billion in Penalties | SEC Enforcement Results for 2022
November 17, 2022SEC Releases Brief Introduction The SEC announced on November 15th a large summary of their enforcement actions for the fiscal year of[...]
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