SEC Releases Archives - Page 10 of 86

Cybersecurity Investor Protection | SEC Commissioner Update

SEC Releases Brief Introduction SEC Commissioner, Jaime Lizarrage, spoke at the Digital Directs Network on May 16th. He discussed how the SEC is pushing for all market actors […]

SEC Continues Heightened Focus on Recordkeeping Failures

SEC Releases Brief Introduction On May 11th, two Broker Dealer Firms were charged by the SEC for “widespread and longstanding failures” relating to SEC recordkeeping requirements, specifically […]

First Charges Ever Filed by the SEC for Liquidity Requirement Violations

SEC Releases Brief Introduction On May 5th, the SEC charged a Firm $476,000 in disgorgement and civil penalties for aiding and abetting Liquidity Rule Violations by a Mutual Fund […]

SEC Adopts Amendments to Form PF

SEC Releases Brief Introduction As “hinted” by SEC Chairman, Gary Gensler, at the MFA Conference recently, the SEC announced on May 3rd that the Proposed Amendments to Form […]

Reg BI | SEC Releases Bulletin for RIAs and BDs

SEC Releases Brief Introduction Last week, the SEC released a bulletin explaining the standards of conduct for Registered Investment Advisers (“RIAs”) and Broker Dealers (“BDs”) under Reg BI […]

SEC Chairman’s Congressional Testimony | Key Takeaways

SEC Releases Brief Introduction On April 18th, SEC Chairman, Gary Gensler, gave testimony to the House of Representatives Committee on Financial Services. His testimony covered many topics […]

SEC Charges Investment Adviser for Tax Service Misstatements

SEC Releases Brief Introduction On April 18th, an Investment Advisory Firm was charged by the SEC for misstatements and omissions relating to its automated tax loss harvesting service […]

Firm Pays $20 Million for Improper Securities Trading

SEC Releases Brief Introduction On April 3rd, a Firm and its Founder agreed to pay $19.3 million in disgorgement, interest, and civil penalties as a result of SEC […]

SEC Releases Risk Alert for Newly Registered Advisers

SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during Examinations and what Compliance Problems […]

SEC Proposes Amendments to Regulation S-P

SEC Releases Brief Introduction On March 15th, the SEC proposed new changes to Regulation S-P . Their goal is to enhance the protection of customer information. Currently, Regulation S-P requires […]

SEC Reopens Comment Period for Proposed Cybersecurity Rule

SEC Releases On March 15th, the SEC chose to reopen the comment period on the Proposed Cyber Rule for cybersecurity risk management and disclosure requirements on Registered […]

Private Equity Consultant Charged with Insider Trading

SEC Releases Brief Introduction The SEC charged a former consultant for a Private Equity Firm, and his close friend, with insider trading on February 22nd, 2023. These charges resulted […]