investment advisers

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

SEC Press Releases 36 35 1521

Read more

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

SEC Press Releases 64 39 4075

Read more

SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

SEC Press Releases 77 62 1411

Read more

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

SEC Press Releases 35 56 3762

Read more

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

SEC Press Releases 82 97 3334

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 59 31 2432

Read more

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

SEC Press Releases 85 79 4945

Read more