investment advisers

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers

SEC Press Releases 100 45 3834

Read more

SEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments

SEC Press Releases 44 84 4449

Read more

SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

SEC Press Releases 100 67 1466

Read more

SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both

SEC Press Releases 99 21 3977

Read more

SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees

SEC Press Releases 71 69 4147

Read more

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million

SEC Press Releases 65 57 1651

Read more

SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers

SEC Press Releases 63 84 1167

Read more