On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.Read More
On March 30, 2022, the Division of Examinations (the Division) published its 2022 Examination Priorities. These annual priorities highlight practices, products, and services that present heightened risks to investors or U.S capital markets.
The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.