SEC Releases Archives - Page 12 of 88

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 […]

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. […]