SEC Releases Archives - Page 7 of 88

SEC Spring 2024 Regulatory Agenda Released

SEC RELEASES Proposed Rules Up for Final Approval! On July 8th, the SEC released their Spring 2024 Regulatory Agenda. In this Agenda includes a total […]

Cybersecurity Violations Result in $2.1 Million Penalty

SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control and procedure failures, along with […]

SEC Chair and Commissioners Discuss AI | SEC Releases

SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient ways to provide services to […]

Risk Alert on Broker Dealer Examinations

SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers. The Risk Alert discusses how […]

How to Cooperate During SEC Investigations | SEC Releases

SEC Releases Introduction On May 23rd, SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West about the importance of cooperation […]

False Statements and Conflicts of Interest | Firm and Co-Founder Charged

SEC RELEASES Introduction On May 29th, the SEC announced charges against a previous RIA and its Co-Founder for statements made to investors and undisclosed conflicts […]

Reg SCI Failures | $10 Million SEC Charge

SEC RELEASES Introduction On May 22nd, the SEC announced a $10 million penalty against a business for failing to notify the SEC of a cybersecurity […]

SEC and FinCEN Propose New Rule for Customer Identification Program

SEC RELEASES Introduction On May 13th, the SEC and FinCEN issued a joint proposal for customer identification program obligations to apply to certain investment advisers. […]

SEC Adopts Amendments to Regulation S-P

SEC RELEASES Introduction The SEC adopted amendments to Regulation S-P that was originally first proposed on March 15th, 2023. These amendments will apply to the […]

The Marketing Rule and the Public Good | Gary Gensler Takeaways

SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into how the SEC leadership values accurate […]

Director of Enforcement Division Talks AI | Key Takeaways

SEC RELEASES Introduction Artificial Intelligence (“AI”) continues to grab the attention of regulators that are trying to stay ahead of the risks to investors. In […]

“SEC Speaks 2024” Key Takeaways

SEC Releases Introduction Recently, the SEC Chair, multiple Commissioners, and Directors gave their opinions about the state of the regulatory environment. Some notable speakers included SEC Chair, Gary Gensler, […]