News
SEC Division of Examinations Announces 2023 Examination Priorities
On February 7, the SEC’s Division of Examinations (the “Division”) announced its updated examination priorities...
2022 Third Quarter Newsletter
This quarter, the market extended its pullback around the impact of continued inflation and other...
2022 Second Quarter Newsletter
Market volatility, high inflation and other macroeconomic headwinds highlight this quarter’s headlines. While the expected...
2022 First Quarter Newsletter
Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022 The...
2021 Year In Review for Investment Advisers
Guidance, Enforcement, Hot Topics, & More January 2022 I feel very fortunate to be...
2021 Third Quarter Compliance Letter
Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s...
2021 Second Quarter Compliance Letter
We hope this letter finds you all well. It has been an active quarter, so...
SEC Division of Examinations Announces 2021 Examination Priorities
On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...
2021 First Quarter Compliance Letter
We hope this letter finds you well. It has been an active quarter for compliance;...
Goodbye Advertising and Solicitation Rules, Hello Marketing Rule
Ought we really to be spending enforcement resources to ensure that radio personalities keep mum...
2020 Year In Review for Investment Advisers
I learned most everything I know about business as a young teenager. I learned that...
2020 Third Quarter Compliance Letter
We hope this letter finds you well. The SEC’s fiscal year came to a close...