SEC Releases Archives - Page 17 of 88

Private Fund Adviser Deficiencies | EXAMS Risk Alert

On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4 key areas examined during EXAMS observations: […]

Proposing to Amend Form PF | SEC Release

On Wednesday, January 26th, the SEC announced that they voted on proposed amendments to enhance Private Fund Reporting. The goal of these proposed amendments is to assess systematic […]

SEC Chairman Update On Cybersecurity And Securities Laws

On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating to where improvements can be […]

Staff Statement Regarding Form CRS Disclosures for 2022

Staff Statement Regarding Form CRS Disclosures for 2022 | SEC Releases As the new year begins, the SEC released a statement regarding Form CRS disclosures. The Committee […]

$4.5 Million Fine for Fee and Expense Disclosures | SEC Releases

Fee and Expense Disclosure Failures | SEC Releases On Monday, December 20th, the SEC released an Order announcing that they charged an RIA $4.5 Million for Fee and […]

Multiple Deficiencies Found Relating to Advisers’ Fee Calculations

SEC Releases | Risk Alert The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 10th, concluding that the Division Staff completed a national initiative that focused […]

Risk Alert | “Division” Examines Advisers Providing Electronic Investment Advice

SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 9th, with the goal […]

Risk Alert | RIC Initiatives Examined by the “Division”

Observations from Examinations in the Registered Investment Company Initiatives October 26, 2021 Summary: Focus: The SEC examined more than 50 fund complexes, more than […]

SEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act

SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act Regal Investment Advisors, LLC (“Regal”) failed to […]

SEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024

SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need to forbid trading in approximately […]

SEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures

SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions for failures in their cybersecurity […]

SEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO

SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and its Associated Individuals for providing […]