SEC Releases Archives - Page 11 of 88

11 Firms Charged by the SEC for Recordkeeping Failures

SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties […]

New Rule Adopted by SEC, Along with Two Proposals

SEC RELEASES Brief Introduction On July 26th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident Disclosure. They also announced two […]

Private Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging

SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts of interest. The Firm agreed […]

SEC Places 37 New Rules in Final Stage as part of its Spring Agenda

SEC Releases Brief Introduction The SEC has announced its Spring 2023 Regulatory Agenda. SEC Chairman, Gary Gensler, explains the regulatory goals as focusing on a three-part mission to protect […]

New SEC Risk Alert on the Marketing Rule

SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when interacting with the new Marketing […]

Private Fund Compliance Failures Bring SEC Charges for RIA

SEC Releases Brief Introduction A New York RIA was charged $275,000 by the SEC on May 24th for Compliance failures related to their valuation of Private Funds. In addition to the penalties, […]

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 […]