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"We made good progress in 2021, finalizing a handful of rules and proposing many others. We have much more to come on the SEC’s Agency ...
"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...
Document requests suggests SEC sees climate, ethical risks essential to fiduciary duty
States take fresh swipe at Reg D
'Train's moving,' expert warns
One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...
CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy
A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails
A peer shares an example of a form a client would sign to authorize the release of financial information to a third party
Tips to prevent insider trading, SEC ALJ system being challenged anew, eyeing private funds and ESG and much more

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