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Government Shutdown Could Freeze Investigations and Enforcement Actions by SEC and Other Federal Regulators

Although the SEC would maintain some functionality in the event of a government shutdown, the majority of its activities, including inspections and examinations of registered investment advisers and broker-dealers would and ongoing enforcement actions would be discontinued until after a … Read More

SEC Study on Enhancing Investment Adviser Examinations Includes Possible Creation of SRO for Advisers

On January 19, 2011, the SEC submitted to Congress the much-anticipated Study on Enhancing Investment Adviser Examinations, as required by Section 914 of the Dodd-Frank Act. The Study gives Congress three options for improving the SEC’s examination program to address … Read More

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