Happy New Year!
We would like to wish everyone a happy New Year! We hope that everyone had a wonderful holiday season and is well rested. Certainly, lawyers
Navigating 2024 SEC Exam Priorities: Insights from Compliance Experts Webinar Presented by Orion
Navigating 2024 SEC Exam Priorities: Insights from Compliance Experts Webinar Are you ready for what the SEC has in store for 2024? Join
HAPPY THANKSGIVING FROM SEC³!
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 in 2024: What Investors Should Know Organized by Castle Hall
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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
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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
