Rules and Regulations

  • SEC Updates Its Custody Rule FAQs

Industry Update

  • Commissioner Hester M. Peirce Outlines Enforcement Philosophy, Criticizes “Broken Windows” Enforcement

Litigation

  • SEC Charges Thirteen Private Fund Advisers for Repeated Filing Failures
  • SEC Charges Fund Administrator for Flawed Valuation of Affiliated Unregistered Fund
  • SEC Charges Broker-Dealer for Failing to File Suspicious Activity Reports in Connection with Sale of Penny Stocks
  • Lyxor Asset Management, a New York-Based Investment Adviser, Settles SEC Charges for Failing to Disclose Conflict of Interest

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