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17 May 2024, 4:30 am
Yesterday, the SEC announced that it had adopted amendments to Regulation S-P, which are the rules that that govern the treatment of consumers’ nonpublic personal information by certain SEC-regulated financial institutions, such as broker-dealers, funding portals, investment companies, registered investment advisers, and transfer agents. [read post]
16 May 2024, 9:01 pm
Congress repealed the exception that most private fund advisers previously relied on to avoid registration with the SEC.[23] Congress also directed the SEC to collect information from private funds “as necessary and appropriate in the public interest and for the protection of investors, or for the assessment of systemic risk by the FSOC. [read post]
16 May 2024, 12:14 pm
The SEC clause library includes not only clauses from the actual SEC documents, but also clauses from exhibits attached to SEC filings. [read post]
16 May 2024, 9:43 am
In addition to supervision, firms must adhere to recordkeeping requirements mandated by FINRA and the SEC. [read post]
16 May 2024, 7:55 am
By Lene Powell, J.D.A healthy “tone at the top” is crucial for public accounting firms in maintaining culture, professional skepticism, quality control systems, and public responsibility as gatekeepers of U.S. capital markets, SEC Chief Accountant Paul Munter said in a new statement. [read post]
16 May 2024, 7:45 am
Diamantopoulos is a 30-year veteran of the SEC and has held…Read the Full Press Release Have a securities law question? [read post]
16 May 2024, 5:35 am
The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain financial institutions. [read post]
16 May 2024, 3:55 am
If you are interested in the SEC Chief Accountant’s important role in shaping accounting and audit policy over the course of the SEC’s history, check out this exhibit that I curated for the SEC Historical Society. [read post]
15 May 2024, 9:01 pm
The Commission orders a censure, monetary penalties, and a suspension from appearing or practicing before the SEC for the audit partner. [read post]
15 May 2024, 1:19 pm
APRA sec. 2(10). [read post]
15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
15 May 2024, 11:15 am
Sources: SEC Staff Publishes New Investment Adviser Statistics Report Report on Investment Adviser Statistics [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
15 May 2024, 9:36 am
Respondents at all times acted with a willful intent to defraud Claimant, breached their fiduciary duties to him, and violated FINRA Rule 2111 (Suitability), SEC Regulation Best Interest (Reg BI), and FINRA Rule 3010 (Supervision). [read post]
15 May 2024, 5:58 am
BSA-1 (May 13, 2024)).SEC Chair Gary Gensler said the proposed rule is designed to make it more difficult to use false identities to establish customer relationships with investment advisers. [read post]
15 May 2024, 4:15 am
Subject to approval by the SEC, the new standard and related amendments will take effect on December 15, 2025. [read post]
15 May 2024, 4:10 am
The committee was established by the SEC Small Business Advocate Act of 2016. [read post]
14 May 2024, 12:39 pm
Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers and exempt reporting advisers to have customer identification programs (CIPs). [read post]
14 May 2024, 12:17 pm
The SEC’s order finds that Hudson Valley and Conover violated the antifraud provisions of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. [read post]
14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
