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
Join our expert-led 2024 SEC exam priorities webinar to gain valuable insights and strategies to navigate the SEC’s examination priorities
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
Join our Due Diligence University webinar to gain expert insights on key issues that the alternative asset industry faces from regulators.
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
2024 SEC Exam Priorities
Discover 2024 SEC Exam Priorities, including focus areas for different registrants. Learn if these priorities affect your firm’s compliance.
SEC Charges Firm for Violating Whistleblower Protection Rule
Explore recent SEC charges against an investment adviser for violating SEC whistleblower protection rules and learn how to avoid penalties.
SEC Rule Amendments from Last Week
Learn about SEC Privacy Act revisions and Investment Company Act Names Rule enhancements for better compliance and investor protection.
Practical Lessons from the Marketing Rule Sweep
“Learn about SEC charges against investment advisers for hypothetical performance and how SEC³ can assist with Marketing Rule compliance.”
Risk Alert: Assessing Risks, Scoping Examinations, and Requesting Documents
Explore insights from the SEC Division of Examinations Risk Alert and how SEC³ can aid in regulatory examination preparation.
John Lukan to Speak at 2023 NSCP National Conference
Join Managing Director John Lukan at the NSCP National Conference 2023 for insights on complex product recommendations and regulatory impacts.
SEC Adopts Significant Changes to Rules Governing Private Fund Advisers
Discover SEC’s private fund regulations. SEC³ aids compliance with policies and procedures. Get assistance today.