February 26, 2025 SEC Charges Investment Advisers for Compliance Failures Relating to Cash Sweep Programs February 13, 2025 SEC Division of Investment Management Releases Guidance on Website Posting Requirements January 29, 2025 SEC Settles with Investment Adviser for Over $100 Million for Misleading Investors About Tax Implications of Retirement Fund Changes January 24, 2025 Corporate Transparency Act Enforcement Remains On Hold January 17, 2025 Client Reminder: Required Gross Short Position and Activity Reporting by Institutional Investment Managers on Form SHO January 8, 2025 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 The ‘40 Act Blog Top 10 of 2024 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 15, 2024 Interval Fund and Tender Offer Fund Opportunities November 12, 2024 SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds Load more
