SEC Releases Archives - Page 15 of 88

SEC Charges 9 Investment Advisers on Custody Rule and ADV Violations

Brief Introduction On September 9th, the SEC charged 9 investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their SEC […]

SEC’s Drafted Strategic Plan for Fiscal Years 2022 to 2026

Brief Introduction to the Strategic Plan On August 24th, the SEC released a draft of their strategic plan for fiscal years 2022 to 2026 with a focus on […]

Risk Alert Observations from Municipal Advisor Examinations

Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior Risk Alert in 2017 related […]

SEC Emphasizes Importance of Reg BI Adherence

Brief Introduction On Tuesday, August 2, 2022, the SEC staff released a bulletin emphasizing the importance of adhering to the Investment Advisers Act and Reg BI, stating that […]

SEC Proposed Form PF Amendments to Enhance Private Fund Reporting

Brief Introduction On August 10th, the SEC proposed amendments to Form PF which would enhance private fund reporting. Specifically, these amendments would strengthen the SEC’s investor protection capabilities and their oversight of […]

SEC Charges Firms for Deficiencies in Customer Identity Theft Prevention

Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent customer identity theft. As a […]

4 Key Takeaways from the 2022 PLI Investment Management Program

Brief Introduction On July 26th, 2022, Practising Law Institute (“PLI”) hosted their annual program for 2022 on Current Issues & Trends in Investment Management. The Director […]

Brokerage Firm Charged by SEC for Violating Reg BI Standards

Brief Introduction On June 16th, the SEC announced that they had charged a registered broker-dealer and five of its registered representatives for violating Reg BI in their recommendation […]

SEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers

Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information Providers Acting as Investment Advisers. […]

SEC Imposes Largest Penalty Ever Against an Audit Firm

Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA Ethics Exam and withholding evidence […]

SEC Adopts Rules to Require Electronic Filings

Brief Introduction On Thursday, June 23rd, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to […]

Spring 2022 Regulatory Agenda | SEC Announcements

Brief Introduction On Wednesday, June 22nd, the SEC announced that the Office of Information and Regulatory Affairs released the Spring 2022 Unified Agenda of Regulation and Deregulatory […]