Michael Tannenbaum

Tannenbaum Helpern Syracuse & Hirschtritt LLP

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SEC Releases Examination Priorities for 2024

On October 16, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The Division published the priorities earlier...more

12/19/2023 / Broker-Dealer , Cybersecurity , Investment Adviser , Investment Advisers Act of 1940 , Private Funds , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC’s Recent Enforcement Sweeps Targeting Off-Channel Communications of Fund Advisers

In this time of continuing digital transformation, the use of smartphones and messaging apps, such as WhatsApp, Signal, iMessage, Facebook Messenger, WeChat, and Telegram, has become increasingly popular in business practice....more

4/13/2023 / Digital Communications , Financial Services Industry , Form ADV , Investment Adviser , Investment Funds , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC Releases Examination Priorities for 2023

On February 7, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The published priorities reflect the Division’s...more

2/22/2023 / Capital Markets , Investment , Registered Investment Advisors , Regulatory Oversight , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Securities Regulation

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