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Mayer Brown Free Writings + Perspectives

SEC Charges Eleven Institutional Investment Managers with Reporting Failures

Mayer Brown Free Writings + Perspectives on

On September 17, 2024, the Securities and Exchange Commission announced cease-and-desist proceedings against eleven institutional investment managers for failure to file reports required by the Securities Exchange Act of...more

SEC Compliance Consultants, Inc. (SEC³)

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

Faegre Drinker Biddle & Reath LLP

Reg BI Information Overload: The Countdown to June 2020 Continues with Planned Reg BI Stress Tests, Checklists and FAQS Courtesy...

Faegre Drinker Biddle & Reath LLP on

As the countdown to the June 30, 2020, date for compliance with Reg BI inches forward, FINRA and the SEC are providing a potpourri of support and information to help firms ensure compliance. FINRA EFFORTS: FINRA’s...more

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