SEC Releases Archives - Page 17 of 88

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 […]

SEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors

SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]

Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs

Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs | SEC Releases On July 21st, […]

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July 21st, the Division of Examinations […]

Receiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.

SEC Charges Electronic Trading Platform | SEC Release On June 29th, 2021, the SEC announced that Neovest, Inc. failed to register as a broker-dealer in […]

SEC Commissioner Provides Updates Towards Climate, ESG, and More

SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there were large discussions on Climate […]