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 Load more