Recent Articles
Recent Posts
- New 2025 SEC Exam Priorities for Investment Advisors October 22, 2024
- New AML Requirements for RIAs October 1, 2024
- SEC Short Sale Disclosure Rule September 18, 2024
- SEC Enhances Rules to Protect Personal Information May 20, 2024
- SEC Amends Rules Governing Beneficial Ownership October 11, 2023
- SEC Adopts Private Fund Advisor Reforms August 24, 2023
- SEC Adopts Amendments to Form PF June 8, 2023
- SEC Proposes Changes to Regulation S-P March 21, 2023
- SEC Proposes Changes to Custody Rule March 12, 2023
- New 2023 SEC Exam Priorities for RIAs February 15, 2023
- SEC PROPOSES RULE REGARDING OUTSOURCING SERVICES AND FUNCTIONS October 28, 2022
- SEC Proposes Enhanced ESG Disclosure Requirements May 27, 2022
- SEC 2022 Exam Priorities for RIAs March 30, 2022
- SEC Proposes Private Fund Rules February 14, 2022
- SEC Proposes Cybersecurity Rules February 9, 2022
- SEC RISK ALERT – Advisory Fee Calculations November 11, 2021
- New 2021 SEC Focus Areas for Investment Advisors March 4, 2021
- SEC Amends Advertising and Cash Solicitation Rules December 22, 2020
- OCIE Issues Risk Alert on Compliance Rule November 19, 2020
- SEC ISSUES RISK ALERT ON ADVISORS OPERATING FROM BRANCH OFFICES November 10, 2020
- SEC Amends Accredited Investor Definition August 27, 2020
- SEC ISSUES ALERT ON COVID-19 COMPLIANCE RISKS August 13, 2020
- 2020 SEC Exam Priorities for RIAs January 7, 2020
- SEC Proposes Significant Amendments to Advertising and Solicitation Rules November 5, 2019
- SEC ADOPTS FORM CRS AND OTHER RULES June 6, 2019
