The United States Court of Appeals for the Fifth Circuit has vacated the Securities and Exchange Commission's (“SEC”) rule aimed at enhancing the regulation of private fund advisers (“Private ...
What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government securities dealer”. The final rules require certain market participants that take on ...
What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers) for widespread and longstanding failures by ...
The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements containing untrue or unsubstantiated claims or improper testimonials, ...
What: The SEC announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications. Who: The following firms ...
What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered BD/IA) for failures by the firms and their personnel to maintain and ...
Background: As some of you may know, the Trump Administration has recently identified and designated specific Mexican cartels as Foreign Terrorist Organizations (FTOs) and/or Specially ...
