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Takeaways from the SEC Division of Enforcement's FY 2023 Report | Patterson Belknap Webb & Tyler LLP

On November 14, 2023, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year 2023. FY23 was another active year in terms of SEC. ....

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Investment Management Update - November 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

.SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen. ....

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Navigating the marketing rule: Lessons from recent SEC enforcement action

Navigating the marketing rule: Lessons from recent SEC enforcement action
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The SEC's Marketing Rule: Open Issues and Looming Sweep Exams | K&L Gates LLP

More than a month has passed since the 4 November compliance date for the Securities and Exchange Commission’s (SEC) Modernized Marketing Rule for Investment Advisers (the Marketing. ....

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What to Expect with Upcoming SEC Sweeps

The SEC staff previewed the sweep exams in a September risk alert that outlined portions that it intends to focus on when exams begin. Staff also suggested initial sweeps will be used as a tool to better understand current industry approaches before more guidance. ....

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