On September 19, 2022, the Securities and Exchange Commission’s Division of Examinations (the “SEC”) published a Risk Alert announcing its intent to conduct examinations focused on compliance with ...

On June 8, 2023, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (“SEC”) issued its second Risk Alert (the “2023 Risk Alert”) on the amended Rule 206(4)-1 ...

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice. The Securities and Exchange Commission often issues alerts ...

The SEC is getting out ahead of potential adviser missteps in following its new client marketing rules—but advisers should still take note to key points, according to an industry consultant. The ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Broker-dealers, registered investment advisors and their dually registered representatives should view the new Securities and Exchange Commission Regulation Best Interest risk alert as a roadmap of ...