Jennifer Klass

Jennifer Klass

Morgan Lewis

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Latest Posts › SEC


SEC Proposes Rules to Enhance Information Reported by Investment Advisers

The proposed rules would require expanded reporting about separately managed accounts and other aspects of an adviser’s business, allow consolidated registrations for certain private fund advisers that operate a single...more

6/1/2015 - Books & Records Chief Compliance Officers Form ADV FSOC Fund Managers Information Reports Investment Adviser Private Funds RAUM Recordkeeping Requirements SEC SMAs

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

Table of Contents: Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority. Executive Summary - This Outline highlights key U.S. Securities and Exchange...more

2/19/2014 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

Select SEC and FINRA Cases and Developments: 2012 Year in Review

In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC...more

2/7/2013 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

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