Comments will be accepted through March 31, 2023
It’s been 13 years in the making but the SEC has taken a step toward promulgating a Dodd-Frank era rule that would seek to prevent ...
That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop
“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...
An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...
A “far more aggressive” SEC appears to be driving more defendants to litigate their enforcement actions rather than to settle
The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs
Some at the SEC promised more FAQs tied to the new IA ad rule but they never materialized before the rule took effect last November—until ...
It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?
It’s been more than a decade since the SEC adopted its pay-to-play rule, yet violations by advisers continue to imbue compliance lessons