COVID-19 Update

Rules and Regulations

  • SEC Adopts Modernized Marketing Rule for Investment Advisers

Industry Update

  • OCIE Issues Risk Alert on Observations from Examinations of Investment Adviser Compliance Programs
  • Staff Statement on Wyoming Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status”


  • Five Advisory Firms and Broker-Dealers Settle SEC Charges Relating to Improper Sales of Exchange-Traded Products
  • SEC Settles with Investment Advisers for Alleged Disclosure Failures Relating to Transfer of “Top Traders” to Proprietary Hedge Fund

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