[authors: Peter D. Fetzer, Terry D. Nelson]

Non-Enforcement Matters

  • Lack of SEC Guidance With Revised Rule 506 Could Make the Rule Unusable
  • State Securities Administrators List Top Broker-Dealer Compliance Problem Areas
  • Hedge Fund Advisers and SEC Exams

Enforcement Matters

  • SEC Initiates Enforcement Action Against Radio Host for Providing Misleading Information
  • Enforcement Action Highlights the Need for Disclosure Regarding Conflicts of Interest
  • Partner of Investment Adviser Sanctioned for Engaging in Conflict of Interest