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SEC Proposes Amendments to Regulation S-P
SEC Releases Brief Introduction On March 15th, the SEC proposed new changes to Regulation S-P . Their goal is to enhance the protection of customer information. Currently, Regulation S-P requires […]
Read MoreSEC Reopens Comment Period for Proposed Cybersecurity Rule
SEC Releases On March 15th, the SEC chose to reopen the comment period on the Proposed Cyber Rule for cybersecurity risk management and disclosure requirements on Registered […]
Read MoreSEC Continues to Investigate Recordkeeping Practices
News & Alerts Brief Introduction It was announced that multiple Firms (Blackrock, Blackstone, Stifel, Citadel, Point72, Wells Fargo, SG Americas Securities) over the past weeks are […]
Read MorePrivate Equity Consultant Charged with Insider Trading
SEC Releases Brief Introduction The SEC charged a former consultant for a Private Equity Firm, and his close friend, with insider trading on February 22nd, 2023. These charges resulted […]
Read MoreSEC Charges Investment Advisory Firm For Trading Violations
SEC Releases Brief Synopsis On February 17th, the SEC charged an Investment Advisory Firm for violating SEC trading rules. The allegations revolve around SEC Rule 105, which is designed […]
Read MoreSEC Finalizes Rule Changes for Settlement Cycles
SEC Releases Brief Synopsis On February 15th, the SEC formally adopted rule changes to reduce the settlement cycle for most Broker Dealer transactions. Their goal is to reduce risk, […]
Read MoreNew SEC Proposed Rule | RIA Protection of Customer Assets
SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February 15th to amend and redesignate rule 206(4)-2 of […]
Read MoreSEC Division of Examinations Releases 2023 Priorities | 7 Takeaways
SEC Releases Brief Introduction On February 7th, the SEC Division of Examinations announced its priorities for 2023. This contains a significant number of priorities; this is unsurprising considering the plethora […]
Read MoreSEC Issues Risk Alert Related to Regulation Best Interest
SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]
Read MoreCommissioner Uyeda Discusses ESG In Depth | SEC Releases
SEC Releases Brief Introduction SEC Commissioner, Mark Uyeda, made multiple remarks on January 27th related to the use of environmental, social, and governance (ESG) investing. […]
Read MoreFirm Charged $5 Million for Misleading Disclosures
SEC Releases Brief Introduction On January 23rd, the SEC charged a firm five million dollars for misleading disclosures. The firm provided a subscription service that provided daily price […]
Read MoreSEC Updates Marketing Rule FAQs
SEC Releases On January 11th, the SEC released updated Marketing Rule FAQs. See below for key takeaways. Key Takeaways from the SEC Gross and Net […]
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