AdminNov 18, 20232 minSEC Enforcement Means Business. What it Means for Your Compliance Program The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...
AdminOct 27, 20222 minProposed Outsourcing Rule Could Have Significant ImpactThe Securities and Exchange Commission on Wednesday advanced by a 3-2 vote a new rule proposal (new rule 206(4)-11 and rule amendments...
AdminNov 6, 20193 minSEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment AdvisersSEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.