The SEC’s Latest Exam and Request List Trends
The SEC’s Latest Exam and Request List Trends WHAT HAPPENED? With new SEC leadership in place, including Chairman Gary Gensler and Director of Enforcement Gurbir Grewal, the Commission’s examination [...]
SEC Cybersecurity Sweep Exams? Here is what you need to know.
SEC Cybersecurity Sweep Exams? Here is what you need to know. WHAT HAPPENED? Recently, there has been an increase in SEC Exam requests related to cybersecurity. Although the SEC [...]
SEC Appoints New Director of Enforcement, Gurbir S. Grewal
SEC Appoints New Director of Enforcement, Gurbir S. Grewal WHAT HAPPENED? On June 29, 2021, the SEC issued a press release announcing the appointment of New Jersey Attorney General, [...]
Inaccurate Performance Information Leads to SEC Charges
Inaccurate Performance Information Leads to SEC Charges WHAT HAPPENED? The SEC recently settled with a registered investment adviser that posted false statements and misleading performance data on its public [...]
5 Proposed Rules from the SEC That Could Affect Your Firm
5 Proposed Rules from the SEC That Could Affect Your Firm WHAT HAPPENED? The SEC released its latest regulatory agenda, which outlines the commission’s pending rules and regulations. Under [...]
ESG Disclosure and Materiality Reminders for RIAs
ESG Disclosure and Materiality Reminders for RIAs WHAT HAPPENED? Climate and environmental, social, and governance (ESG) topics continue to gain prevalence in capital markets, especially when it comes to [...]
The SEC’s Bitcoin Futures Warning
The SEC’s Bitcoin Futures Warning WHAT HAPPENED? Last week, the SEC released a statement pertaining to funds investing in Bitcoin futures. Market participants have pushed for cryptocurrency ETFs in [...]
Adviser Facing Jury Trial for Securities Laws Violations
Adviser Facing Jury Trial for Securities Laws Violations WHAT HAPPENED? An exempt reporting adviser (“ERA”) and related private fund were recently investigated by the SEC for a variety of [...]
SEC Director of Enforcement Resigns After One Week – What Now?
SEC Director of Enforcement Resigns After One Week – What Now? WHAT HAPPENED? Last month, the SEC announced Chairman Gary Gensler appointed Alex Oh to be Director of the [...]
SPACs: What the SEC Wants You to Know
SPACs: What the SEC Wants You to Know WHAT HAPPENED? Special-purpose acquisition companies, or SPACs, have recently surged in popularity and the SEC is paying attention. These vehicles are [...]
No Need to Report Certain Home Offices on Form ADV
No Need to Report Certain Home Offices on Form ADV WHAT HAPPENED? The U.S. Securities and Exchange Commission released an FAQ statement clarifying there is no need to report [...]
Key Takeaways from the SEC’s ESG Risk Alert
Key Takeaways from the SEC’s ESG Risk Alert WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission released a Risk Alert outlining specific compliance concerns associated with environmental, social, [...]
Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts
Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts WHAT HAPPENED? The owner and principal of an Indiana-based investment advisory firm was recently fined by the U.S. [...]
Firm Principal Fined by the SEC for Supervisory Violations
Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission charged a California-based adviser with several compliance failures related to supervisory [...]
Compliance Considerations for RIAs and BDs Trading Digital Asset Securities
Compliance Considerations for RIAs and BDs Trading Digital Asset Securities WHAT HAPPENED? Digital assets continue to be a hot topic among regulators as these securities gain momentum in the [...]
UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?
UPDATE: The SEC’s Marketing Rule is Officially Published – What Now? WHAT HAPPENED? On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was [...]
