SEC Releases Archives - Page 11 of 86

SEC Charges Investment Advisory Firm For Trading Violations

SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve around SEC Rule 105, which is designed […]

SEC Finalizes Rule Changes for Settlement Cycles

SEC Releases Brief Synopsis On February 15th, the SEC formally adopted rule changes to reduce the settlement cycle for most Broker Dealer transactions. Their goal is to reduce risk, […]

New SEC Proposed Rule | RIA Protection of Customer Assets

SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February 15th to amend and redesignate rule 206(4)-2 of […]

SEC Division of Examinations Releases 2023 Priorities | 7 Takeaways

SEC Releases Brief Introduction On February 7th, the SEC Division of Examinations announced its priorities for 2023. This contains a significant number of priorities; this is unsurprising considering the plethora […]

SEC Issues Risk Alert Related to Regulation Best Interest

SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]

Commissioner Uyeda Discusses ESG In Depth | SEC Releases

SEC Releases Brief Introduction SEC Commissioner, Mark Uyeda, made multiple remarks on January 27th related to the use of environmental, social, and governance (ESG) investing. […]

Firm Charged $5 Million for Misleading Disclosures

SEC Releases Brief Introduction On January 23rd, the SEC charged a firm five million dollars for misleading disclosures. The firm provided a subscription service that provided daily price […]

SEC Updates Marketing Rule FAQs

SEC Releases On January 11th, the SEC released updated Marketing Rule FAQs. See below for key takeaways. Key Takeaways from the SEC Gross and Net […]

Portfolio Manager Fined $250,000 for Undisclosed Conflict of Interest

SEC Releases Brief Introduction On January 5th, the SEC charged a Portfolio Manager $250,000 for failing to disclose a conflict of interest. The individual was charged […]

5 Rules Released by the SEC Makes Waves for the Industry

SEC Releases Brief Introduction On December 14th, the SEC provided one adopted amendment, two proposed amendments, and two proposed rules. The large number of announcements should […]

RIA Censured for Compliance Failures | SEC Fines

SEC Releases Brief Introduction A Registered Investment Adviser was censured and fined $75,000, and its CEO/CCO was fined $25,000, after multiple compliance violations over an extended period […]

SEC Risk Alert for Identity Theft Under Regulation S-ID

SEC Releases Brief Introduction The SEC published a risk alert on December 5th related to Regulation S-ID after recent Compliance Examinations of Investment Advisers and Broker Dealers. Regulation S-ID […]