David Axelrod

Ballard Spahr LLP

+ Follow Contact

Latest Posts › Investment Adviser

Share:

SEC Nears First Settlement With a Credit Rating Agency in Off-Channel Communications Sweep

Summary - The Securities and Exchange Commission (SEC) is reportedly nearing a settlement with a nationally recognized statistical rating organization (NRSRO) over its failure to preserve certain credit-ratings...more

8/9/2023 / Broker-Dealer , Credit Rating Agencies , Electronic Communications , Enforcement Actions , Investment Adviser , NRSRO , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Settlement

The SEC’s Recent Personal Device Settlements Shed Light on the Question of Self-Reporting

Summary - Two more broker-dealers became the latest financial institutions to settle with the SEC for failing to maintain and preserve electronic communications. What distinguishes these settlements from the 17 prior...more

5/16/2023 / Broker-Dealer , Disclosure Requirements , Enforcement Actions , Investment Adviser , Securities and Exchange Commission (SEC) , Self-Reporting

Private Funds, ‘Greenwashing,’ and Crypto-Assets are Among SEC’s Top Examination Priorities in 2022

Summary - The U.S. Securities and Exchange Commission this week published its 2022 Examination Priorities report. This year, the SEC’s Division of Examinations plans to prioritize scrutiny of Private Funds; Environmental,...more

4/4/2022 / Broker-Dealer , Corporate Counsel , Environmental Social & Governance (ESG) , Form CRS , Investment Adviser , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

Colorado Proposes Cybersecurity Rules for Investment Advisers, Broker-Dealers

The Colorado Division of Securities recently issued proposed rules directed at establishing cybersecurity requirements for broker-dealers and investment advisers. The proposed rules were issued only a month after New York...more

4/27/2017 / Broker-Dealer , Cybersecurity , Data Protection , Electronic Communications , Financial Services Industry , Investment Adviser , Investment Products , Popular , Risk Assessment , Securities and Exchange Commission (SEC)

4 Results

View per page

Page: of 1