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SEC Releases
Mandatory Disclosures | Gensler Discusses at Columbia Law
March 26, 2024SEC RELEASES Introduction On March 22nd, SEC Chair, Gary Gensler, spoke at a Columbia Law School conference. He discussed the[...]
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SEC Releases
Misleading AI Statements | SEC Charges Two Firms
March 19, 2024SEC Releases Introduction On March 18th, the SEC announced charges against two Investment Advisers. Both Firms were found to have made false and[...]
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SEC Releases
SEC Commissioner, Mark Uyeda, Discusses the Administrative State
March 14, 2024SEC Releases Introduction SEC Commissioner, Mark Uyeda, recently addressed the Council of Institutional Investors on the administrative state. He voiced[...]
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SEC Releases
Climate-Related Disclosures | SEC Adopts Rules
March 08, 2024SEC Releases Introduction The SEC announced on March 6th, 2024, that final rules have been adopted that require Firms to provide disclosures[...]
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SEC Releases
SEC Charges Firm $950k for Disclosure Failures
March 05, 2024SEC Releases Introduction The SEC charged an Investment Adviser with disclosure failures related to required 13G and 13D Filings. Failures to submit timely[...]
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SEC Releases
$1.5 Million Charge for ETF Launch Disclosure Failure
February 26, 2024SEC Releases Introduction An RIA was recently charged $1.5 Million by the SEC for failing to provide proper disclosures about the launch of one[...]
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SEC Releases
$2.2 Million Reg BI Violation | SEC Releases
February 23, 2024SEC Releases Introduction A Broker Dealer was charged $2.2 Million on February 16th for failures to comply with Regulation Best Interest (“Reg BI”). Reg BI continues to[...]
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SEC Releases
SEC Chair, Gary Gensler, Discusses AI
February 21, 2024SEC Releases Introduction SEC Chair, Gary Gensler, recently spoke at a Yale Law School event about Artificial Intelligence (“AI”) and the important role[...]
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SEC Releases
Form PF Amendments Adopted | SEC Releases
February 10, 2024SEC Releases Introduction The SEC adopted amendments to Form PF on February 8th, 2024. Their goal is to enhance reporting by large hedge[...]
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SEC Releases
$81 Million Fines for Recordkeeping Failures (RIAs/BDs)
February 09, 2024SEC Releases Introduction The SEC just announced that sixteen (16) Firms have been penalized $81 Million for widespread and longstanding recordkeeping failures. The types[...]
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SEC Releases
SEC Adopts Rules Relating to SPACs, Shell Companies, and Projections
January 25, 2024SEC Releases Introduction On January 24th, the SEC adopted final rules and amendments to enhance disclosures and provide additional investor protections in initial public[...]
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SEC Releases
Private Equity Adviser Charged $4 Million for Compliance Failures
January 04, 2024SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related[...]
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