The Securities and Exchange Commission’s (the “SEC”) escalating focus on investment advisor compliance is continuing into 2022. In 2021, the SEC brought 159 enforcement actions against.
Private funds should be prepared for increased oversight from the Securities and Exchange Commission (SEC), following a landmark year of enforcement cases. In 2021, the Commission.
The service has been stepping up its efforts to provide tax information and resources to underserved communities, but more work is needed, according to a new report.
The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities.