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Statement On Internet Investment Advisers, SEC Chair Gary Gensler, March 27, 2024

Statement On Internet Investment Advisers, SEC Chair Gary Gensler, March 27, 2024
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RIA Regulatory Review - October 2023 | Dorsey & Whitney LLP

This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below. The SEC.

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SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About As The November 4 Compliance Date Approaches - Securities

By Nov. 4, 2022 (the "Compliance Date"), registered investment advisers ("RIAs") must comply with the requirements of amended Rule 206(4)-1 (the "Amended Marketing Rule").

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What to Expect from SEC Enforcement: Regulation Best Interest | Quinn Emanuel Urquhart & Sullivan, LLP

The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities.

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The SEC s Multipronged Focus On Advisory Fees—Implications For Private Fund Managers - Finance and Banking

Any doubts over whether the U.S. Securities and Exchange Commission considers advisory fees to be a focus area for 2022 were dispelled over the past several weeks.

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