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SEC Adopts Modernized Investment Adviser Marketing Rule Governing Advertisements and Solicitation

On December 22, 2020, the U.S. Securities and Exchange Commission adopted rule and form amendments to modernize the regulatory framework governing investment adviser advertising and payments to solicitors....more

SEC Proposes Amendments to the Advertising and Solicitation Rules

The U.S. Securities and Exchange Commission has proposed amendments to Rule 206(4)-1 – Advertisements by Investment Advisers (Current Advertising Rule) and Rule 206(4)-3 – Cash Payments for Client Solicitations (Current...more

OCIE Risk Alert Regarding Adviser Examination Observations from the Supervision Initiative

The staff of the SEC’s Office of Compliance Inspections and Examinations (Staff) issued a Risk Alert on July 23, 2019, in which the Staff shared observations from its “Supervision Initiative” that “assess[ed] the oversight...more

OCIE Publishes Risk Alert on Most Frequent Best Execution Compliance Issues Found During Examinations

The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on July 11, 2018. The Risk Alert highlights OCIE’s observations of compliance issues...more

SEC Announces Share Class Selection Disclosure Initiative

The Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC) on February 12, 2018, announced a Share Class Selection Disclosure Initiative (SCSD Initiative). Led by the Division’s Asset...more

SEC Form ADV SMA Amendments and Investment Adviser Recordkeeping Rules: Compliance Deadline Quickly Approaching

The October 1, 2017 compliance date for the amendments to Form ADV and to rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940 (Advisers Act) (collectively,...more

SEC Amends Form ADV and Investment Adviser Recordkeeping Rules

The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940...more

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