SEC Releases Archives - Page 2 of 10

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, […]

SEC Risk Alert | Marketing Rule Compliance

SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April 17th, the Division of Examinations (the […]

RIA Pay-To-Play Violation Involving a Campaign Contribution

SEC Releases Introduction On April 15, 2024, the SEC announced an RIA violated the Pay-To-Play Rule by continuing to receive compensation from a government entity within two years after […]

SEC Adopts Amendments Affecting Internet Investment Advisers

SEC Releases Introduction The SEC adopted amendments that affect the way Internet Investment Advisers register, particularly with small Investment Advisers. Although the different potential rule adoptions in 2024 address many topics, […]

Misleading AI Statements | SEC Charges Two Firms

SEC Releases Introduction On March 18th, the SEC announced charges against two Investment Advisers. Both Firms were found to have made false and misleading statements about their use […]

Climate-Related Disclosures | SEC Adopts Rules

SEC Releases Introduction The SEC announced on March 6th, 2024, that final rules have been adopted that require Firms to provide disclosures for information related to climate […]

SEC Charges Firm $950k for Disclosure Failures

SEC Releases Introduction The SEC charged an Investment Adviser with disclosure failures related to required 13G and 13D Filings. Failures to submit timely required filings are taken seriously by […]

$1.5 Million Charge for ETF Launch Disclosure Failure

SEC Releases Introduction An RIA was recently charged $1.5 Million by the SEC for failing to provide proper disclosures about the launch of one of its new ETFs. The […]

$2.2 Million Reg BI Violation | SEC Releases

SEC Releases Introduction A Broker Dealer was charged $2.2 Million on February 16th for failures to comply with Regulation Best Interest (“Reg BI”). Reg BI continues to be an enhanced focus for the […]

SEC Chair, Gary Gensler, Discusses AI

SEC Releases Introduction SEC Chair, Gary Gensler, recently spoke at a Yale Law School event about Artificial Intelligence (“AI”) and the important role that regulators play. He discussed […]

Form PF Amendments Adopted | SEC Releases

SEC Releases Introduction The SEC adopted amendments to Form PF on February 8th, 2024. Their goal is to enhance reporting by large hedge fund advisers to assist regulators in […]