What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government […]
The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]
What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]
Last week the SEC announced that it had settled charges against five more registered investment […]
What: The SEC announced that it settled charges against two investment advisers for making false […]
As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]
What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]
What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]
December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]
What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]
What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]
October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]
October 19, 2023 What: The Securities and Exchange Commission (SEC) announced its examination priorities for […]
September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]
