IA Rules & Regulatory Actions

Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
We estimate that there are 594 investment advisers that would be considered small entities
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YieldStreet later determined that the Borrower had stolen the deconstruction proceeds for several ships, including the ship securing the loan in the Vessel Deconstruction VI ...
Private fund
This final rule creates six new Advisers Act rules and modifies two others and becomes effective Nov. 13, 2023
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The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"
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The adviser failed to distribute required audited financials
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The audits were completed pursuant to the International Standards on Auditing, not U.S. GAAS requirements; and the auditor was not registered with the PCAOB, resulting ...
The adviser purported to rely on the exception to the qualified custodian requirement but did not obtain an audit of each of the Funds and ...
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The firm also did not properly describe the status of its fund’s financial statement audits when filing its Forms ADV and did not update certain ...
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The adviser failed to maintain securities of certain private equity funds that it advised with a qualified custodian
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CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...

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