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 [...]
2021 SEC Examination Priorities: What You Should Know
2021 SEC Examination Priorities: What You Should Know WHAT HAPPENED? On March 3, 2021, the Division of Enforcement of the U.S. Securities and Exchange Commission (the Division) released its [...]
SEC Requirement: Annual Amendment for Form ADV
SEC Requirement: Annual Amendment for Form ADV WHAT HAPPENED? The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the [...]
Six New Data Privacy Bills That Could Become Law in 2021
Six New Data Privacy Bills That Could Become Law in 2021 WHAT HAPPENED? State mandated data privacy regulations are constantly evolving to meet the needs of the changing cybersecurity [...]
Large Trader Compliance Risks For Investment Advisers and Broker-Dealers
Large Trader Compliance Risks For Investment Advisers and Broker-Dealers WHAT HAPPENED? Recently, the Division of Enforcement of the U.S. Securities and Exchange Commission released a list of common compliance [...]
SEC Restores Investigative Powers for Senior Enforcement Staff
SEC Restores Investigative Powers for Senior Enforcement Staff WHAT HAPPENED? On Feb. 9, 2021, the Acting Chair of the U.S. Securities and Exchange Commission, Allison Herren Lee, announced in [...]
NSCP Currents: Preparing for the LIBOR Transition and the Division’s LIBOR Exam
NSCP Currents: Preparing for the LIBOR Transition and the Division's LIBOR Exam
Regulatory Freeze Could Bring Changes to New SEC Marketing Rule
Regulatory Freeze Could Bring Changes to New SEC Marketing Rule WHAT HAPPENED? On Jan. 20, 2021, President Biden’s first day in office, the White House issued a memorandum indicating [...]
Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers
Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers WHAT HAPPENED? President Biden recently named Gary Gensler, the Obama-era head of the Commodity Futures Trading [...]
Investments in Certain Chinese Companies Restricted Under New Executive Order
Investments in Certain Chinese Companies Restricted Under New Executive Order WHAT HAPPENED? On Jan. 6, 2021, the U.S. Securities and Exchange Commission issued a Risk Alert in response to [...]
The DOL’s New Fiduciary Rule Exemption: What You Should Know
The DOL’s New Fiduciary Rule Exemption: What You Should Know WHAT HAPPENED? Recently, the U.S. Department of Labor (DOL) finalized its new fiduciary rule exemption, which will allow advisers [...]
