September 22, 2023
SEC Settles Charges with Nine Advisers in Marketing Rule Sweep
September 20, 2023
SEC Files a Civil Complaint Against a Broker-Dealer for False and Misleading Disclosures Relating to Information Barriers
September 18, 2023
Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers
September 13, 2023
SEC Issues a Risk Alert Providing Details on the Investment Adviser Examination Process
September 11, 2023
SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations
August 25, 2023
The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers
August 24, 2023
SEC Settles Charges With Transfer Agent for Lost Securityholders
August 17, 2023
SEC Charges 11 Firms with Widespread Recordkeeping Failures
August 16, 2023
SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million
August 3, 2023
SEC Proposes Amendments to the Internet Adviser Exemption
August 2, 2023
SEC Proposes New Rules Concerning Investment Adviser and Broker-Dealer Use of Predictive Data Analytics
July 24, 2023, as revised August 4, 2023
SEC Adopts Money Market Fund Reforms
July 10, 2023
SEC Announces Insider Trading Charges Against Thirteen Defendants in Four Separate Complaints
June 23, 2023
SEC Settles Charges with Accounting Firm for Quality Control Deficiencies
June 21, 2023
SEC Settles Charges with Registered Adviser for Disclosure and Policy and Procedure Violations