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Takeaways from the SEC Division of Enforcement's FY 2023 Report | Patterson Belknap Webb & Tyler LLP

On November 14, 2023, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year 2023. FY23 was another active year in terms of SEC.

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Investment Management Update - November 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

.SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen.

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Navigating the marketing rule: Lessons from recent SEC enforcement action

Navigating the marketing rule: Lessons from recent SEC enforcement action
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The SEC's Marketing Rule: Open Issues and Looming Sweep Exams | K&L Gates LLP

More than a month has passed since the 4 November compliance date for the Securities and Exchange Commission’s (SEC) Modernized Marketing Rule for Investment Advisers (the Marketing.

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What to Expect with Upcoming SEC Sweeps

The SEC staff previewed the sweep exams in a September risk alert that outlined portions that it intends to focus on when exams begin. Staff also suggested initial sweeps will be used as a tool to better understand current industry approaches before more guidance.

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