Don’t Rule Out the Top Guns The SEC doesn’t back down from a fight no matter the size of...
With recent increase in the usage of electronic communication, we thought it necessary to touch on...
Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic....
The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team...
The Securities and Exchange Commission recently announced that Interactive Brokers LLC will pay an...
The SEC is frequently receiving applications for exemptions or other relief for funds. These...
On July 10th, the SEC proposed changes to Form 13F to update the threshold for institutional...
The OCIE is frequently asked about their findings in the examination process of RIAs that manage...
The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of...