Leslie S. Cruz

SEC Exam Staff Issues Risk Alert On Investment Adviser Annual Compliance Reviews

Reg E-Delivery: Giant Leap Or Baby Step?

SEC Division Of Investment Management Issues Statement Clarifying Treatment Of Pooled Employer Plans Under Certain Federal Securities Laws

SEC And CFTC Propose Sweeping Amendments To Form PF

SEC Grants No-Action Relief To Registered Investment Advisers And Certain Registered Investment Companies To Treat A State Trust Company Providing Crypto Asset Custody Services As A "Bank"

SEC And CFTC Further Extend Compliance Date For Form PF Amendments

BREAKING: FinCEN Postpones Effective Date Of Investment Adviser AML Rule

SEC And CFTC Extend Compliance Date For Form PF Amendments And SEC Withdraws Certain Proposed Rules

US SEC Gives Green Light To Swiss-Based Investment Adviser Registration Applications

Past Guidance Is No Assurance Of Future Guidance: SEC Staff Reverses Course With New Marketing Rule FAQs On Extracted Performance And Portfolio Characteristics