SEC Enforcement Results for Fiscal Year 2023
On Tuesday, November 14, the SEC announced its enforcement results for the fiscal year of 2023. Here is a summary of the results: In terms
2024 SEC Exam Priorities
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
SEC Charges Firm for Violating Whistleblower Protection Rule
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
SEC Rule Amendments from Last Week
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
Practical Lessons from the Marketing Rule Sweep
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
Risk Alert: Assessing Risks, Scoping Examinations, and Requesting Documents
On Wednesday, September 6, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a Risk Alert detailing the Division’s examination selection process. For
John Lukan to Speak at 2023 NSCP National Conference
2023 National NSCP Conference When: October 16-18, 2023 Where: Omni Dallas in Dallas, Texas We are happy to announce our very own our Managing Director,
SEC Adopts Significant Changes to Rules Governing Private Fund Advisers
The SEC not only adopted new rules designed to protect private fund investors this week, but has doubled down and also created a new reporting requirement
SEC Proposes Changes to the Internet Adviser Exemption
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
Form N-PX Amendment Reminder
Adopted in November 2022 with a first filing due in August of 2024, the adopted amendments to Form N-PX has flown largely under the radar for
