SEC Guidelines
In March, The Securities and Exchange Commission’s Division of...
The Securities and Exchange Commission announced on December...
The Securities and Exchange Commission today amended the “accredited...
In April, the SEC announced it had voted to propose a new framework for...
February 2020 In December 2019, the SEC voted to propose amendments to...
February 2020 On January 27th, the Office of Compliance Inspections and...
January 2020 The Securities and Exchange Commission’s Office of...
January 2020 The Securities and Exchange Commission’s Office of...
December 2019 The Securities and Exchange Commission announced today that...
September 2019 The OCIE recently published a Risk Alert that provides an...
May 2019 The majority of advisers to Pooled Investment Vehicles that...
January 2019 The SEC announced its Office of Compliance Inspections and...
On August 8, 2018, Richey May’s XBRL expert Bryan Castrantas moderated a...
February 2018 The SEC announced its Office of Compliance Inspections and...
September 2016 Recently, the U.S. Securities and Exchange Commission...
February 2016 Earlier this year, the SEC announced its Office of...
The Custody Rule (Rule 206(4)-2) requires that advisors custody client...