On August 12, 2024, the SEC announced the settlement of administrative proceedings brought against a dually registered investment adviser and broker-dealer (the adviser) for alleged breaches of fiduciary duty related to its...more
On May 21, 2024, the SEC announced the settlement of administrative proceedings brought against a dually-registered broker-dealer and investment adviser for its alleged failure to address conflicts of interest in compliance...more
On July 26, 2023, the SEC issued proposed rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address conflicts of interest that the SEC believes are associated with the use by...more
New Rules, Proposed Rules, Guidance and Alerts -
GUIDANCE AND ALERTS -
SEC Staff Issues Guidance on Improving Fund Principal Risks Disclosure -
On September 9, 2019, the Disclosure Review and Accounting Office...more