SEC Releases Archives - Page 17 of 86

Division of Examinations Announces 2021 Examination Priorities

The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related risks. It is important to note […]

Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies

The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other market participants to investments in […]

SEC Adopts Modernized Marketing Rule for Investment Advisers

The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to modernize rules that govern investment […]

SEC Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers

The SEC came out with a Risk Alert yesterday (12/17) regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Here are some expectations from this […]

Framework For Fund Valuation Practices: Rule 2a-5

The SEC made an announcement today (12/03) stating that they have adopted a new rule (2a-5) that establishes an updated regulatory framework for fund valuation […]

The Role of the CCO

OCIE’s Director Pete Driscoll, yesterday spoke at the SEC’s outreach program, sharing his views of the role of an Adviser’s CCO. In addition, on November […]

OCIE Risk Alert: Investment Advisor Compliance Programs

Today, November 19th, 2020, The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert for Investment Advisor Compliance Programs noting significant compliance issues related to Rule […]

OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices

The Office of Compliance Inspections and Examinations (OCIE) conducted examinations focusing on SEC-registered investment advisers operating from multiple branch offices and with operations geographically dispersed from the […]

How to Define the Parameters of Personal Liability for Compliance Officers

Due to the impact of COVID-19 it has created an increasingly difficult regulatory environment with complications for Compliance Professionals. Throughout this impact of the COVID-19 pandemic […]

SEC Proposed Exemption from Broker-Dealer Registration for Finders

On October 7th, the SEC released a public statement stating that the Commission has proposed to create a new exemption that will permit individuals to engage in traditional brokerage […]

Regulatory Framework for Fund of Funds Arrangements is Updated by the SEC

Starting today on October 7th, the Securities and Exchange Commission voted to adopt a new rule and related amendments to facilitate a comprehensive regulatory framework for […]

SEC Adopts Amendments to “Accredited Investor” Definition

On August 26th, the SEC made amendments to the “Accredited Investor” definition in attempts to modernize it. The definition is one of the principal tests to determine the eligibility […]