By Seth Gaudreau and Stephen Wilkes On June 8, 2023, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) published a risk alert (the “Risk Alert” - found here)...
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Potential Fallout from the SEC’s Late Trading Rule Revival
Potential Fallout from the SEC’s Late Trading Rule Revival - Marcia Wagner, NAPA, January 10, 2023 (PDF)
SEC’s Proposed Outsourcing Rule Could Be Hardest on Small Advisers
SEC’s Proposed Outsourcing Rule Could Be Hardest on Small Advisers - Marcia Wagner, PLANADVISER, November 2, 2022 (PDF)
Should The SEC Ban ESG Funds?
Should The SEC Ban ESG Funds? - Marcia Wagner, Forbes, October 12, 2022 (PDF)
A Guide to the SEC’s Reg BI Bulletins
A Guide to the SEC’s Reg BI Bulletins - Stephen Wilkes and Seth Gaudreau, PLANADVISER, August 25, 2022 (PDF)
SEC Provides Further Guidance in its Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflict of Interest
By Stephen Wilkes and Seth Gaudreau The U.S. Securities and Exchange Commission (“SEC”) recently published a Staff Bulletin (the “Bulletin”) providing further fiduciary standards guidance for...
Cetera Preps Advisors to Reap Benefits of New SEC Marketing Rule
Cetera Preps Advisors to Reap Benefits of New SEC Marketing Rule - Financial Advisor IQ, August 11, 2022 (PDF)
SEC Marketing Rule: New Engagement Tools but More Red Tape
SEC Marketing Rule: New Engagement Tools but More Red Tape - Financial Advisor IQ, August 2, 2022 (PDF)
Are You Ready for the SEC’s New Marketing Rule?
Are You Ready for the SEC’s New Marketing Rule? – Seth Gaudreau and Steve Wilkes, National Association of Plan Advisors (NAPA), May 6, 2022 (PDF)
White Paper: SEC Marketing Rule
SEC Marketing Rule Insights By Seth Gadreau and Stephen Wilkes With the U.S. Securities and Exchange Commission (“SEC”) November 4, 2022, date for full compliance with its “Marketing Rule” (found...
November SEC Advertising Rule Compliance Date Fast Approaching
November SEC Advertising Rule Compliance Date Fast Approaching – Seth Gaudreau and Steve Wilkes, PLANADVISER, May 5, 2022 (PDF)
Grayscale CEO’s Threatened Lawsuit Against the SEC, in Case it Rejects His Firm’s Spot-Bitcoin ETF Application
Grayscale CEO’s Threatened Lawsuit Against the SEC, in Case it Rejects His Firm’s Spot-Bitcoin ETF Application – Ari Sonneberg, RIABiz, April 1, 2022 (PDF)
SEC Expects to Focus on Cybersecurity in 2022
The U.S. Securities and Exchange Commission (“SEC”) has focused on cybersecurity under the Biden administration and it is expected to be one of its top priorities for the coming year. The SEC’s...
Cybersecurity A Major SEC Focus in 2022
Cybersecurity A Major SEC Focus in 2022 - Seth Gadreau and Stephen Wilkes, 401(k) Specialist, January 26, 2022 (PDF)