September 13, 2021

Adviser Advertising – Marketing Rule FAQs

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September 1, 2021

New York State Releases Pass-Through Entity Tax Guidance

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September 1, 2021

SEC Division of Examinations Issues Risk Alert on Examination Observations Regarding Fixed Income Principal and Cross Trades

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August 30, 2021

SEC Files Complaint in its First “Shadow” Insider Trading Action

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August 18, 2021

SEC Approves Nasdaq Board Diversity Rules

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August 17, 2021

Erroneous Payment Provisions in Credit Agreement

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August 17, 2021

SEC Settles Charges with 27 Registered Investment Advisers and Broker-Dealers for Failing to Timely File and Deliver Form CRS

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August 16, 2021

Asset Management Advisory Committee Makes Diversity and Inclusion Recommendations to SEC

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August 13, 2021

SEC Division of Examinations Issues Observations from Examinations of Investment Advisers Managing Wrap Fee Program Accounts

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August 5, 2021

Seward & Kissel Authored an Article for the IAA Titled, “Use of Alternative Data by Investment Advisers”

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July 29, 2021

Seward & Kissel’s Tech Highlights

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July 21, 2021

FINRA Settles with Robinhood for Record Fine

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July 21, 2021

COVID-19 Update: Considerations for Resumption of In-Person Board Meetings

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July 8, 2021

SEC Announces Intent to Increase Net Worth Threshold for “Qualified Clients”

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June 25, 2021

President Biden Issues Executive Order on Climate-Related Financial Risk

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