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Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic. These have come operationally, technologically, commercially, and
The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance
The Securities and Exchange Commission recently announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges
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