Don’t Forget Form D – Recent SEC Enforcement Actions Emphasize the Importance of Timely Filing Form D
On December 20, 2024, the Securities Exchange Commission announced that it had settled with multiple entities for failing to timely…
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SEC Announces 2025 Examination Priorities
On October 21, 2024, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released its annual examination priorities for…
Read MoreSEC v. Jarkesy: A New Horizon for Securities Litigation
The Supreme Court's decision in SEC v. Jarkesy (“Jarkesy”) curtails the Securities and Exchange Commission’s (SEC) use of SEC-appointed judges…
Read MoreSEC Regulation S-P Changes: What You Need to Know
On May 16, 2024, the Securities and Exchange Commission (“SEC”) adopted significant amendments to Regulation S-P (“Reg S-P”). Among other…
Read MoreSEC Reforms Decades-Old Exemption for Internet Advisers
As we have highlighted, on March 27, 2024, the Securities and Exchange Commission (“SEC”) amended the internet adviser exemption by…
Read MoreThe Securities and Exchange Commission Announces Amendments to Internet Investment Adviser Registration Rules
On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted amended rules regarding the registration requirements that apply to…
Read MoreSEC Rules 3a5-4 and 3a44-2 Requiring Registration of Liquidity-Providing Persons as “Dealers”
On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted Rules 3a5-4 and 3a44-2 (“Final Rules”) defining the phrase…
Read MoreThe Securities and Exchange Commission Announces New Set of Private Fund Rules
On August 23, 2023, the Securities and Exchange Commission (“SEC”) adopted new rules regarding the regulation of private funds and…
Read MoreSEC Announces 2024 Examination Priorities
Being fired is never easy, but it is a particularly challenging and uncertain time for licensed financial advisors and their…
Read MoreSEC Approves New FINRA Expungement Rules
On April 12, 2023, the SEC approved long-anticipated changes to FINRA’s expungement rules that will make the expungement process more…
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