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December 15, 2021
2020/2021 Hedge Fund Side Letter Study
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December 7, 2021
SEC Division of Examinations Issues Risk Alert on Robo-Advisers
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December 3, 2021
Investment Adviser to Pay $18 million to SEC for Compliance Failures in Handling MNPI
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November 29, 2021
SEC Division of Examinations Issues Risk Alert on Investment Advisers’ Fee Calculations
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November 8, 2021
2022 IARD Renewal Program
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November 4, 2021
SEC Proposes Amendments to Increase Proxy Voting Transparency
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October 19, 2021
SEC’s Division of Corporation Finance Issues Sample Letter to Companies Regarding Climate Change Disclosures
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October 15, 2021
Chamber of Commerce Releases Results of Survey of Public Companies on ESG and Climate Change
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October 4, 2021
SEC Settles Securities Fraud Charges with App Annie and its Founder
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September 15, 2021
SEC Sanctions Multiple Investment Advisers and Broker-Dealers for Cybersecurity Violations
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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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