June 5, 2024 Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety June 4, 2024 Seward & Kissel’s Marketing Rule Snapshot Report May 28, 2024 SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers April 16, 2024 SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees May 10, 2024 Seward & Kissel Attorneys Author IAA Article on Off-Channel Communications April 7, 2024 SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance April 29, 2024 CBOE Applies for SEC Approval to List and Trade ETF Share Classes April 24, 2024 SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations April 18, 2024 SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date April 4, 2024 SEC Settles Charges with Advisers for Marketing Rule Violations Related to AI Washing March 28, 2024 SEC Staff Denies Closed-End Fund’s No-Action Request Seeking to Exclude Shareholder Proposal to Declassify Board March 4, 2024 SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF January 25, 2023 SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades January 22, 2024 Seward & Kissel attorneys co-authored a chapter for the ICLG – ESG Law 2024 titled, “U.S. Legal and Compliance Issues Relating to ESG for Private Fund Advisers” January 5, 2023 SEC Settles Charges Against Private-Equity Firm for Alleged Disclosure Policy Failures Load more