The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011.…
Read MoreSEC Has Another Banner Year at Expense of Advisers
The SEC recently announced that it filed 734 enforcement actions in fiscal…
Read MoreConflict of Interest Remains Top SEC Priority
The SEC continues to identify conflicts of interest as a key focus…
Read MoreBroker-Dealers: Do You Know How To Keep a Secret?
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released a…
Read MoreSEC Issues Risk Alert on Pay-to-Play Rules
The SEC has issued a National Examination Risk Alert related to pay-to-play…
Read MoreAdviser Facing Legal Trouble Over Radio Show
Advisers ready for the limelight, beware! The SEC recently announced charges against…
Read MoreAre Tougher SEC Penalties on the Horizon?
Two U.S. senators are proposing a bill that would authorize the SEC…
Read MoreRegulators Don’t “Like” How Advisers Are Using Social Media
Social media use by advisers is on the rise. A recent survey…
Read MoreDo You Fit the Profile? SEC Releases More Data on Newly Registered Private Equity Funds
The Securities and Exchange Commission (SEC) recently released additional data regarding newly…
Read MoreAdvisers and Brokers Beware: SEC Looking Beyond U.S. Borders
The Securities and Exchange Commission is currently working to expand its oversight…
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