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The SEC is frequently receiving applications for exemptions or other relief for funds. These exceptions provide important economic benefits to
On July 10th, the SEC proposed changes to Form 13F to update the threshold for institutional investment managers and make
The OCIE is frequently asked about their findings in the examination process of RIAs that manage private equity funds or
The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of proposed rule changes, including a change to
Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of unsuitable recommendations. Despite this being a hot
The SEC started an initiative a couple years ago ordering firms to turn themselves in if they had failed to
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast changes that have taken
On January 27th 2020 the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued examination observations related