December 20, 2024 Federal Government Shutdown and the SEC: What You Need to Know December 9, 2024 UPDATE – Corporate Transparency Act Blocked by Recent Injunction December 5, 2024 Corporate Transparency Act Blocked by Recent Injunction December 5, 2024 SEC Staff Issues Guidance on Tailored Shareholder Reports November 26, 2024 SEC Announces Enforcement Results for Fiscal Year 2024 November 19, 2024 SEC Charges Robo-Adviser with Marketing Rule Violations November 12, 2024 SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds November 5, 2024 Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA October 29, 2024 Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA October 24, 2024 SEC Section 13 Enforcement Sweep October 8, 2024 SEC Settles Charges with Adviser for Fraud Involving Overvaluation of CMOs September 12, 2024 Department of the Treasury Releases New AML/CFT Rule for Investment Advisers September 6, 2024 SEC Charges Investment Adviser with MNPI-Related Compliance Failures August 22, 2024 SEC Fines Twenty-Six Firms for Recordkeeping Failures in Latest Off-Channel Communications Sweep May 28, 2024 SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers Load more