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Investment Adviser › Financial Markets › Administrative Proceedings

Bradley Arant Boult Cummings LLP

SEC Enforcement in the Second Quarter of 2025

Bradley Arant Boult Cummings LLP on

In May 2025, we summarized the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement activity during the first quarter of the new presidential administration. With the second quarter now concluded, and Paul...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

SEC Issues Guidance on Mutual Fund Fee Structure - The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more

Proskauer - The Capital Commitment

SEC Announces Record Number of Investment Adviser Cases for FY 2016

Proskauer - The Capital Commitment on

The Securities and Exchange Commission today announced its enforcement results for fiscal year 2016, reaching new highs in the number of actions filed and money ordered forfeited through disgorgement and penalties. The SEC...more

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