SEC Division of Examinations Announces 2023 Exam Priorities
On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations (“DOE”), formerly the Office of Compliance Investigations and…
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SEC Registered Firms Must Comply With New Marketing Rule By November 4, 2022
As you know, in 2021, the SEC’s new Marketing Rule became effective with an outside compliance date of November 4,…
Read MoreSEC Warns Broker-Dealers and Advisers About Disclosing Conflicts of Interest
Under both Regulation Best Interest (“Reg BI”) and the Investment Adviser fiduciary standard, firms and financial professionals should provide recommendations…
Read MoreSEC Releases Information Update to Align Existing Staff Letters with New Adviser Marketing Rule
As discussed more fully in our earlier article, the Securities Exchange Commission (“SEC”) adopted its new Marketing Rule on December…
Read MoreNew SEC Risk Alert – Advisory Fees are in the Crosshairs Again
On November 10, 20201, the SEC’s Division of Examinations issued a Risk Alert relating to investment adviser’s fee calculations. The…
Read MoreSEC’s Order and Dissent Highlights Uncertain Regulatory Environment for Digital Assets
In a recent administrative proceeding before the Securities and Exchange Commission, crypto firm Blotics, Ltd., also known as Coinschedule.com, drew…
Read MoreSEC Fines 27 Investment Advisers for Form CRS Issues
The SEC’s Division of Enforcement announced action against a whopping 27 investment advisers in connection with issues relating to the…
Read MoreSEC OVERHAULS MARKETING RULES FOR INVESTMENT ADVISORS
After more than a year of review and public comment, the Securities and Exchange Commission (SEC) announced on December 22,…
Read MoreSEC Proposes New Exemptions to Expand the Scope of “Finders”
In October 2020, the U.S. Securities and Exchange Commission (“SEC”) proposed an order which could expand when/what “finders” are permitted…
Read MoreSEC MODERNIZES THE ACCREDITED INVESTOR DEFINITION
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted updates to the definition of “accredited investor” under the…
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