LATEST DEVELOPMENTS: FUNDS

• SEC Charges Adviser and Trustees with Liquidity Rule Violations

LATEST DEVELOPMENTS: ADVISERS

• SEC Staff Releases Bulletin Regarding Standards of Conduct for Broker-Dealer and Adviser Care Obligations
• SEC Risk Alert Highlights Key Issues in Examinations of Newly-Registered Advisers
• SEC Risk Alert Highlights Additional Areas of Emphasis for Marketing Rule Examinations

LITIGATION AND ENFORCEMENT ACTIONS

• Adviser Liable for Failure to Disclose Material Conflicts of Interest
• SEC Charges Broker-Dealers with Failures to Maintain Electronic Communications

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