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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 Release ...
OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site
The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client
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 ...
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 ...
The relationship summary must include the required items enumerated below
SEC proposes changing the advertising rule for the first time in decades
This Risk Alert provides observations of deficiencies and internal control weaknesses from examinations of investment advisers and funds regarding ESG investing. It also provides observations ...
Chairman looks at Reg D, ESG disclosures, insider trading, Form PF and much else
The order, tied to the coronavirus, also extends to Form PF filings
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