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 Upcoming Reminders for FinCEN Beneficial Ownership Information Reporting November 12, 2024 SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds November 11, 2024 Financial Services Firm Affiliates Settle Five SEC Enforcement Actions for Allegedly Misleading Customers and Failing to Act in their Best Interests November 5, 2024 Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA November 1, 2024 SEC Division of Examinations Releases its 2025 Examination Priorities 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 10, 2024 Alexandra Alberstadt Quoted in Ignites Article Titled, “Tepid Sales Follow Clunky Fund-to-ETF Conversions” October 8, 2024 SEC Settles Charges with Adviser for Fraud Involving Overvaluation of CMOs October 7, 2024 A Refresher on the SEC’s Pay to Play Rule September 25, 2024 SEC Amends Fund Reporting Requirements on Forms N-PORT and N-CEN, Issues Guidance on Liquidity Risk Management Programs Load more