Disclosure

Here are the seven elements that must be included in breach notices under revised Reg S-P

The SEC and Congress are considering changing laws to allow for the delivery of financial documents electronically as the default delivery method

So far so good except the firm erred in what it disclosed about the program

Although the adviser's policy required it to identify and disclose conflicts of interest, it lacked any written P&Ps to ensure that conflicts of interest around ...

Remedial actions taken by the firms include the hiring of new compliance professionals at senior levels with extensive broker-dealer and investment adviser experience

A group of private fund managers can claim they fought the law—and won, at least for now

The latest Commission move toward welcoming retail investors to private funds comes through new guidance on disclosures required of registered closed-end funds that invest in ...

EDGAR will also be updated on September 15 to fully implement the Commission’s EDGAR Next rulemaking, compliance with which is required Sept. 15, 2025

"The volume and complexity of these rules may be just as scary to a law firm associate performing a 'form check' of a proxy statement, ...

If you sell insurance annuities, you may wish to ensure that you disclose the exact amount that you receive in compensation