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SEC Actions

The latest from the SEC.

"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...
This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C
This is the SEC's proposal for a cybersecurity rule for investment advisers
This is the SEC's proposed cybersecurity rule directed at registered funds
Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...
"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order ...
We made three recommendations to further strengthen the SEC’s IA/IC examination program.
SEC
Here is the SEC's latest regulatory agenda
EXAMS staff observed potential failures to conduct a reasonable investigation into an investment
On Jan. 19th, 2020, the SEC formally withdrew the no-action letters. The list of the withdrawn letters is below
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