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U S Executive Branch Update – September 12, 2023 - Economic Analysis

This report provides a snapshot of the U.S. Executive Branch priorities via daily schedules and the prior day's press releases.

United statesWhite houseDistrict of columbiaNew yorkSouth koreaRepublic ofEnvironmental protection agencyRepublic of koreaEileenc donahoeWally adeyemoKusti salmChristophera celizPat ryderBasil goodenDaily pressDepartment of labor

SEC s Division of Examinations Sheds Light Regarding Exam Selection and Scoping | Goodwin

On September 6, 2023, the staff of the US Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) issued a risk alert describing how it selects.

Exchange commissionDivision of examinationsDivision of examinations theMarketing ruleRisk alertInvestment advisersAssessing risksScoping examinationsRequesting documentsNewly registered advisers

SEC adopts sweeping new private fund adviser rules and amendment to compliance rule | Eversheds Sutherland (US) LLP

On August 23, 2023, a divided Securities and Exchange Commission (SEC) adopted far-reaching new rules and rule amendments under the Investment Advisers Act of 1940, as amended (Advisers.

United statesUnregistered private fund advisersNational association of private fund managersEversheds sutherlandExchange commissionInvestment companyFund adviserStaff of the division investment managementFund adviser rules doWhile the private fund adviserFund associationFund advisersFunds associationUnited states courtPublic company accounting oversight boardInvestment advisers act

Commission Sanctions 9 Advisors Based on Marketing Rule

Marketing is frequently a key element for a business. It gives the company an opportunity to showcase its products to those who might be interested…

United statesMatter of banorte asset management incBanorte asset managementAdvisers act ruleMarketing ruleAdvisers act sectionAw firmsAw updatesEgal updatesEgal developmentsAw developmentsEgal newslettersEgal current awarenessEgal advisersEgal advisorsEgal directory

Nine RIA firms fined $850K by SEC for marketing rule violations

The firms were caught in a sweep wrongly advertising hypothetical performance.

Gurbirs grewalLinden thomas advisory servicesAsset management incBanorte asset management incExchange commissionAssociates financial group incAdvisory groupMarketing ruleAssociates financial group

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