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Rules

Is Your Venture Capital Exemption Safe?

Overview Venture capital managers are expanding investments and strategies to meet ever-changing investor objectives, including...

Industry

Heightened Scrutiny of Federal Agencies: Supreme Court Rules on Chevron & Jarkesy

On June 27, 2024, the Supreme Court ruled, in SEC v. Jarkesy (2024), that defendants...

Industry

SEC Division of Examinations Announces 2023 Examination Priorities

On February 7, the SEC’s Division of Examinations (the “Division”) announced its updated examination priorities...

Industry

When is Chief Compliance Officer Liability Appropriate?

Many chief compliance officers of registered investment advisers often, and understandably, worry about their personal...

Industry

SEC Fines J.P. Morgan Securities for Recordkeeping Failures

“As technology changes, it’s even more important that registrants ensure that their communications are appropriately...

Industry

2021 SEC Compliance Program Outreach: Fort Worth Regional Office

On July 28, 2021, the SEC’s Fort Worth Regional Office (“FWRO”) held its annual compliance...

Industry

SEC Division of Examinations Announces 2021 Examination Priorities

On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...

Industry

The New Normal: Maintaining Compliance Programs Remotely

The way most of us work together has changed. Video calls have replaced the conference...

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