Mary Jo White recently announced plans to depart her role coinciding with the end of the Obama Administration in January 2017. Her resignation marks the symbolic shift in the composition of the Commission.
The SEC announced a record year for enforcement, with 868 total actions in fiscal year 2016, an increase of almost 15 percent over just two years ago.
BCP, ADV and other SEC targets were discussed by SEC Assistant Regional Director of the Boston Office Mayeti Gametchu and other panelists at a recent NEBDIAA meeting.
The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers…
Ascendant’s ongoing education series ComplianceCast returns on Thursday, June 16 at 2 pm ET with an episode focused on regulatory…
The SEC plans to propose the rules establishing a program of third-party compliance assessment in April 2017
