January 8, 2024
SEC Charges Investment Adviser with Compliance Policy Failures Regarding its Handling of Material Nonpublic Information
December 31, 2024
UPDATE – CTA Whiplash; Fifth Circuit Reverses itself and Blocks Corporate Transparency Act Reporting Requirements
December 30, 2024
Tax Court Delivers Coal to Another Limited Partnership Management Company
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