Rules and Regulations

• SEC Expands Access to Private Offerings

Industry Update

• OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise

Litigation

• Token Issuer Settles SEC Allegations of Failing to Register under Section 5 of the Securities Act
• Investment Adviser and its Chief Compliance Officer Settle SEC Charges Arising Out of Alleged Failure to Conduct Compliance Reviews, and Altering Compliance Reports Provided to SEC Examiners
• Investment Adviser Settles SEC Allegations of Custody Rule Violations