SEC Actions

This is the SEC's proposal for a cybersecurity rule for investment advisers

This is the SEC's proposed cybersecurity rule directed at registered funds

Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...

"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order ...

We made three recommendations to further strengthen the SEC’s IA/IC examination program.

Here is the SEC's latest regulatory agenda

EXAMS staff observed potential failures to conduct a reasonable investigation into an investment

On Jan. 19th, 2020, the SEC formally withdrew the no-action letters. The list of the withdrawn letters is below

Given the changing conditions among markets to bring together buyers and sellers of securities, the Commission is proposing to amend Exchange Act Rule 3b-16

Nino allegedly used the funds for personal expenses—primarily gifts and travel and living expenses for women with whom he had romantic relationships