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April 30, 2024
Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations…
April 30, 2024
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual...
April 25, 2024
On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding investment advisers’ compliance with amended...
February 23, 2024
The New Jersey Legislature joined a handful of states, including Illinois, California and Massachusetts, in enacting statutory protections and rights for LGBTQI and HIV+ residents of...
February 22, 2024
The New Jersey Legislature joined a handful of states, including Illinois, California and Massachusetts,[1] in enacting statutory protections and…
February 15, 2024
As we move further away from the one-year anniversary of the compliance date for the SEC's new Marketing Rule 206(4)(1) under the Investment Advisers Act of 1940 (the "Marketing Rule"),...
January 1, 2024
The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.
October 26, 2023
This is the third in a three-part series discussing the new and amended rules adopted by the Colorado Division of Securities effective as of March 30, 2023...
September 13, 2023
On August 23, 2023, a divided Securities and Exchange Commission (SEC) adopted far-reaching new rules and rule amendments under the Investment Advisers Act of 1940, as amended (Advisers...
September 11, 2023
On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) to, in its words,