SEC Actions

The SEC amends the form currently used by most variable annuity separate accounts, Form N–4, to require issuers of RILAs to register offerings on that ...

FinCEN proposes to amend its AML rules. Among other things, should this proposal be finalized, it would require broker-dealers and other financial institutions to review ...

This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...

The "threat actor was able to utilize deceptive hacking techniques to install encryption software on certain" of the adviser's "computers (mostly virtual machines) and exfiltrated ...

When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute ...

Treasury seeks to understand better how AI is being used within financial services, and the opportunities and risks presented by the technology. Comments are due ...

The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...

This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query

This is the decision, 3-0, vacating the SEC's new private fund rules

While this new final rule takes effect Aug. 2, the compliance dates are February 2026 for larger entities and August 2026 for smaller ones