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ALL NEWS

May 19, 2020
Share Class Selection Disclosure Initiative Nets More Than $139 Million
May 19, 2020
SEC Will Not Delay Upcoming Reg BI, Form CRS Compliance Date
Apr 29, 2020
News in Brief: May 2020
Feb 20, 2020
SEC's OCIE Publishes Cybersecurity, Resiliency Practices Exam Observations
Feb 20, 2020
SEC Reports That 2019 Was Successful Year for Enforcement Activity
Feb 20, 2020
News in Brief: February 2020
Jan 31, 2020
News in Brief: January 2020
Nov 4, 2019
News in Brief – November 2019
Oct 1, 2019
News in Brief – October 2019
Aug 22, 2019
CFP Board Will Tighten Enforcement Practices, Information Provided on Public Website
Aug 22, 2019
Clayton Responds to Critics as SEC Moves Ahead To Implement Reg. BI, Other Actions
Jul 25, 2019
News in Brief: August 2019
Jun 27, 2019
News in Brief: July 2019
Jun 3, 2019
SEC Is Seeking More Funds, Staff in FY 2020
Jun 3, 2019
More Firms Appear To Be Jumping on Blockchain, Cryptocurrency Bandwagon
Jun 3, 2019
Firms Give Overall Support to FSOC Proposal
Jun 3, 2019
Comments Address, Offer Changes to SEC Recent Fund of Funds Proposal
Apr 26, 2019
News in Brief: May 2019
Mar 28, 2019
News in Brief: April 2019
Mar 1, 2019
SEC Issues Fund of Funds Proposed Rulemaking
Mar 1, 2019
SEC Outlines Priorities for 2019 Examinations
Feb 20, 2019
News in Brief: March 2019
Feb 7, 2019
New Congress Takes Shape
Dec 2, 2018
PE Firms of Every Size Face Complex Operational and Efficiency Challenges, McKinsey Finds
Nov 18, 2018
Brush Up on Identity Theft Red Flag Rules
Nov 14, 2018
Strategies for Defending Against an SEC Investigation
Nov 14, 2018
SEC Enforcement Division Releases FY 2018 Findings
Nov 14, 2018
SEC Settles First Ever Enforcement Action Related to the Identity Theft Red Flags Rule
Aug 27, 2018
Recent SEC Actions Highlight Agency View of Social Media as Testimonial
Aug 23, 2018
Cybersecurity Best Practices To Keep Top of Mind
Aug 23, 2018
For Fifth Year Cybersecurity Top Compliance Concern for Investment Advisers
May 13, 2018
SEC Commission Piwowar To Step Down
May 13, 2018
Basic Sales and Advertising Practices for RICs
May 13, 2018
SEC Launches New Investor Search Tool Based on Judgments, Enforcement Actions
May 13, 2018
Organization and Structure of an RIC
May 13, 2018
Foundational Understanding of the Investment Management Industry
Apr 16, 2018
ICI, Chamber of Commerce Challenge CFTC Registration Rule
Dec 4, 2017
DOL Extends Fiduciary Rule ‘Transition Period’ 18 Months
Dec 4, 2017
Back to Basics: Brush up on ERISA Restrictions
Nov 24, 2017
IAA Releases Checklist to Help Advisers Cope with Effective Form ADV Part 1A Changes
Nov 24, 2017
SEC Enforcement Division Releases 2017 Enforcement Data and 2018 Priorities
Aug 15, 2017
DOL Files Proposal to Delay Fiduciary Rule 18 Months with OMB
Aug 15, 2017
Study: Investment Adviser Industry Grows in 2017 with Record RAUM
Aug 13, 2017
Cybersecurity Tops List of Compliance Concerns for RIAs for Fourth Year
May 25, 2017
Social Media Update: FINRA Releases Additional Guidance on Social Networking Websites and Business C
May 23, 2017
With No “Principled Legal Basis” for Delay, Acosta Signals Fiduciary Rule will Move Forward
May 21, 2017
Brush up on Registered Investment Company Operational Practices
May 21, 2017
New SEC Head Sworn In, Additional Staffing Decisions Announced
Apr 24, 2017
Compliance Roundup: April 2017
Apr 21, 2017
Increased Importance of Cybersecurity Moves Best Practices Even Higher

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