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Broker-Dealer Advisors Act

Lowenstein Sandler LLP

SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications

Lowenstein Sandler LLP on

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” As we have previously written about, settlements of this type have become...more

Procopio, Cory, Hargreaves & Savitch LLP

What to Expect from the SEC’s Examination Focus in 2024

Investment advisers, broker-dealers, fund managers and other financial professionals could be impacted in 2024 by the U.S. Securities and Exchange Commission’s (SEC) continued focus on upcoming examinations. The SEC unveiled...more

Vedder Price

Investment Services Regulatory Update - June 2019

Vedder Price on

Investment Services Regulatory Update – New Rules, Proposed Rules, Guidance and Alerts – New Rules – SEC Adopts Rules and Interpretations Concerning the Standard of Conduct for Broker-Dealers and Investment Advisers - ...more

Proskauer Rose LLP

Broker-Dealer and Investment Adviser Standards of Conduct - SEC Adopts Rules and Interpretations

Proskauer Rose LLP on

On June 5, 2019, the Securities and Exchange Commission voted to adopt a package of rulemakings and interpretations, including (i) a new rule creating a standard of conduct for broker-dealers when recommending securities to...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update - August 2016

Regulation - Next on the SEC’s Regulatory Agenda: A Chief Valuation Officer? - First, the SEC required funds to designate a chief compliance officer. Then, the SEC proposed that funds designate a liquidity...more

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