Securities and Exchange Commission (SEC), Broker-Dealer, Waivers

New Orders Lifting Bars Signal Shift by SEC

White & Case LLP on 5/14/2025

In recent months, the U.S. Securities and Exchange Commission has signaled a shift in its approach to applications to lift administrative bars that restrict participation in the securities industry. This suggests there is...more

SEC Adopts Sweeping New Private Fund Adviser Rules

Jackson Walker on 9/6/2023

On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”), by a party-line vote of 3-2, adopted new rules applicable to investment advisers to private funds (“Private Fund Advisers”) that address transparency,...more

The (Possible) Benefit Of Self-Reporting And Internal Discipline

UB Greensfelder LLP on 1/25/2021

Historically, one of the surest ways to get yourself permanently barred from the industry is to forge a customer’s signature on something. According to the pertinent Sanction Guideline, at a minimum, a forgery, that is, a...more

Investment Management Update - September 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 9/26/2019

In this issue, we summarize regulatory, litigation and industry developments from May to September 2019 impacting the investment management sector, including SEC action on standards of conduct for broker-dealers and...more

Can “Bad Actors” Wave Goodbye to SEC Waivers?

Carlton Fields on 6/19/2015

The SEC has been thinking harder before waiving automatic disqualifications that the federal securities laws and regulations impose on so-called "bad actors." Without such waivers, companies may be barred from, among...more

Securities and Exchange Commission (SEC) › Broker-Dealer › Waivers

New Orders Lifting Bars Signal Shift by SEC

SEC Adopts Sweeping New Private Fund Adviser Rules

The (Possible) Benefit Of Self-Reporting And Internal Discipline

Investment Management Update - September 2019

Can “Bad Actors” Wave Goodbye to SEC Waivers?

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