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IA Rules & Regulatory Actions

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K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson (Release No. LR-22971; April 11, 2014) U.S. SECURITIES AND EXCHANGE COMMISSION Litigation ...
OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...
OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site
SEC proposes changing the advertising rule for the first time in decades
The relationship summary must include the required items enumerated below
The order, tied to the coronavirus, also extends to Form PF filings
The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...
Portfolio managers’ ESG practices didn’t line up with their compliance disclosures, firms didn’t have adequate controls to keep investors up-to-date on ethical investment trends, and ...
"We are expressing a Staff position that an investment adviser relying on the exception for limited partnerships (or limited liability companies or other types of ...
Advisers receiving PPP loans should disclosure this to their clients

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