January 8, 2024
SEC Charges Investment Adviser with Compliance Policy Failures Regarding its Handling of Material Nonpublic Information
January 6, 2025
SEC Brings Charges for Failure to File Form D Notice in Connection with Exempt Securities Offerings under Regulation D
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 5, 2024
SEC Staff Issues Guidance on Tailored Shareholder Reports
November 27, 2024
SEC Charges Investment Adviser for Making Misleading ESG-Related Statements
November 26, 2024
SEC Announces Enforcement Results for Fiscal Year 2024
November 26, 2024
Upcoming Reminders for FinCEN Beneficial Ownership Information Reporting
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 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 5, 2024
SEC Charges Investment Company, CEO and Board Member for Alleged Misleading Statements Regarding Use of Artificial Intelligence
November 4, 2024
SEC Charges Adviser with Failing to Follow ESG Investment Criteria
October 29, 2024
Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA