News

On February 7, the SEC’s Division of Examinations (the “Division”) announced its updated examination priorities...

This quarter, the market extended its pullback around the impact of continued inflation and other...

Market volatility, high inflation and other macroeconomic headwinds highlight this quarter’s headlines. While the expected...

Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022   The...

Guidance, Enforcement, Hot Topics, & More January 2022   I feel very fortunate to be...

Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s...

We hope this letter finds you all well. It has been an active quarter, so...

On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...

We hope this letter finds you well. It has been an active quarter for compliance;...

Ought we really to be spending enforcement resources to ensure that radio personalities keep mum...

I learned most everything I know about business as a young teenager. I learned that...

We hope this letter finds you well. The SEC’s fiscal year came to a close...