SEC Announcements

Proposed Outsourcing Rule Could Have Significant Impact

The Securities and Exchange Commission on Wednesday advanced by a 3-2 vote a new rule proposal (new rule 206(4)-11 and rule amendments...

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.

SEC Advertising Rule Proposal Announced

SEC Advertising Proposal Announced

Keep Current with Compliance - 4 Topics for June 2019

Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.

How Not to Get Zapped by Electronic Communications

On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...

It's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!

On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...

SEC is Listening to the Mutual Fund Industry and Requests Comments

On Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is...

SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule

The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...

SEC to Hold National Compliance Outreach Seminar

Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment...

SEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under Consideration

From: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME...