Article
04 Sep 2024
SEC Provides Guidance On Liquidity Rule Compliance
AUTHORS CONTENT
Article
03 Sep 2024
SEC Requires Registered Funds To Provide More Frequent Portfolio Transparency
Article
28 May 2024
SEC Adopts Significant Cybersecurity Amendments To Regulation S-P
Article
27 May 2024
SEC And FinCEN Propose Rule Requiring Investment Advisers To Enact Customer Identification Programs
Article
27 Mar 2024
SEC Takes Action Against 'AI Washing,' Fines Two Investment Advisers For Misrepresenting Artificial Intelligence Use
Article
27 Oct 2023
SEC Adopts Amendments To Rules Governing Beneficial Ownership Reporting
Article
02 Oct 2023
Investment Adviser Settles SEC Enforcement Action Concerning Alleged Misstatements Regarding ESG Investment Process
Article
21 Sep 2023
SEC Adopts ‘Names Rule' Changes
Article
09 Aug 2023
SEC Proposes Rules To Address Conflicts Of Interest In The Use Of AI By Investment Advisers And Broker-Dealers
Article
01 Aug 2023
SEC Finalizes New Cybersecurity Disclosure Rules