SEC Releases Archives - Page 9 of 86

Misleading Disclosures Related to Information Barriers

SEC Releases Brief Introduction The SEC has filed charges in U.S. District Court against a Firm and their Parent Company for allegedly making materially false and misleading statements and […]

9 Marketing Rule Violations | SEC Charges

SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule. All involved Firms had violations involving […]

Risk Alert for Investment Advisers | SEC Releases

SEC Releases Brief Introduction The SEC Division of Examinations (“Division” or “EXAMS”) recently published a Risk Alert to give additional information about the Risk-Based Approach the Division takes for selecting Registered […]

5 Advisory Firms Charged for Custody Rule Violations

SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with the Custody Rule and the […]

SEC Reopens Comment Period for RIA Safeguarding Rule

SEC Releases Brief Introduction Due to the new rules and amendments adopted on August 23rd, the SEC has reopened a 60-day comment period for the public to comment […]

SEC Adopts Private Fund Rules

SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private Fund Advisers. There are some significant […]

11 Firms Charged by the SEC for Recordkeeping Failures

SEC Releases Brief Introduction On Tuesday, August 8th, the SEC announced that there have been 11 Wall Street Firms charged with widespread recordkeeping failures totaling combined penalties […]

New Rule Adopted by SEC, Along with Two Proposals

SEC RELEASES Brief Introduction On July 26th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident Disclosure. They also announced two […]

Private Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging

SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts of interest. The Firm agreed […]

SEC Places 37 New Rules in Final Stage as part of its Spring Agenda

SEC Releases Brief Introduction The SEC has announced its Spring 2023 Regulatory Agenda. SEC Chairman, Gary Gensler, explains the regulatory goals as focusing on a three-part mission to protect […]

New SEC Risk Alert on the Marketing Rule

SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when interacting with the new Marketing […]

Private Fund Compliance Failures Bring SEC Charges for RIA

SEC Releases Brief Introduction A New York RIA was charged $275,000 by the SEC on May 24th for Compliance failures related to their valuation of Private Funds. In addition to the penalties, […]