News & Insights: Jeremy McCamic

Jeremy leads the Policy Management team, which is responsible for staying current with regulatory changes and how they impact the firm’s investment adviser clients.

The New Marketing Rule: Part 1 – What is an Ad?

On December 22, 2020, the SEC passed amendments to the advertising and cash solicitation rules, along with updates to other requirements for registered investment advisers. The new SEC Marketing Rule provides more details on what constitutes an ad.

SEC Exam Trends

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]

The New Marketing Rule: RETIRING NO-ACTION LETTERS

When the SEC adopted the Marketing Rule, it rescinded the Cash Solicitation Rule as of the Marketing Rule’s compliance date.

The SEC’s Latest Exam and Request List Trends

Some focus areas, like cybersecurity and business continuity, are more relevant than ever with the changes to how business is conducted worldwide.

No Need to Report Certain Home Offices on Form ADV

The SEC clarified there is no need to report a remote home office on Form ADV if part of a firm’s pandemic response and business continuity plan.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register.

2021 SEC Examination Priorities: What You Should Know

On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.

SEC Requirement: Annual Amendment for Form ADV 2021

The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the fiscal year.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

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