2019 SEC Regulatory Summary – Advisers and Funds
SEC Proposes to Update Longstanding Investment Adviser Advertising and Solicitation Rules
SEC Clarifies Investment Adviser Standard of Conduct
New SEC Privacy and Cybersecurity Risk Alert Tells Broker Dealers and Investment Advisers Common Deficiencies to Avoid
SEC Announces Settlements Resulting from the Share Class Selection Initiative
The SEC Continues to Spread Sunshine on Private Equity: Reflections on Two Recent Enforcement Actions
FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities
Beware of Texting While Advising: OCIE Issues an Electronic Messaging Risk Alert
OCIE Publishes 2019 Enforcement Priorities
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