Rules and Regulations
  • SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Adviser’s Fiduciary Duty and the “Solely Incidental” Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
 Industry Update
  • OCIE Issues Risk Alert Regarding Safeguarding Customer Records and Information in Network Storage
  • SEC Chairman Jay Clayton Gives Keynote Remarks at the Mid-Atlantic Regional Conference
Litigation 
  • SEC Settles with Former Investment Adviser for Material Omissions in Disclosures to Clients and Overcharging Advisory Fees
  • SEC Settles with Private Fund Manager and CIO for Improper Valuation Policy

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