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 Load more