Check out our regulatory update for May 2024, including Amendments to Regulation S-P, Proposed CIP requirements, the latest SEC Risk Alert on Marketing Rule, and more!
SEC slams firms for using hypothetical performance on websites. See our analysis.
Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm
We hope that everyone is enjoying the new year. With 2024 underway, we wanted to share our thoughts and predictions on regulatory matters for the
As we celebrate Thanksgiving in a few days, we encourage everyone to take a few moments to reflect on the many things we all have
The SEC is early to the game releasing the 2024 Exam Priorities just eight months after the 2023 Exam Priorities. Aside from the fact that the
Last week, the Securities and Exchange Commission announced the settlement of charges against a registered investment adviser for violating Rule 21F-17(a) of the Securities Exchange
Last week, the Securities and Exchange Commission announced the approval to revise regulations under the Privacy Act and enhancements to the Investment Company Act “Names
Last week, the U.S. Securities and Exchange Commission announced charges against nine registered investment advisers for holding out hypothetical performance on public websites without adopting
On Wednesday, the Securities and Exchange Commission (SEC) proposed amendments to modernize the internet adviser exemption from prohibition on SEC registration for smaller advisers. Investment advisers are
