March 22, 2023
SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds
March 21, 2023
SEC Proposes Amendments to Regulation S-P
March 12, 2023
Bank Failure: Background and Issues to Consider
March 6, 2023
SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties
February 28, 2023
SEC Proposes New Safeguarding Rule for Investment Advisers
February 22, 2023
SEC Division of Examinations Announces 2023 Priorities
February 15, 2023
SEC Division of Examinations Releases its 2023 Examination Priorities
February 10, 2023
SEC Releases Staff Bulletin on Differential Advisory Fee Waivers
February 6, 2023
SEC Settles Charges with Security Valuation Provider for Providing Misleading Disclosures About Its Valuation Methodologies
January 25, 2023
Investment Adviser Charged for Failing to Disclose Revenue Sharing Arrangements and Related Conflicts of Interest
January 12, 2023
SEC Updates FAQ Regarding Marketing Rule Compliance – Displays of Gross and Net Performance
January 11, 2023
Former Fund Portfolio Manager Charged for Failing to Disclose Conflict of Interest
January 4, 2022
Memo to Clients 2023 – Annual Reminders
December 28, 2022
Seward & Kissel Registered Funds Group 2022 Wrapped
November 30, 2022
SEC Adopts Amendments to Increase Proxy Voting Transparency