Latest Developments

• SEC Publishes Draft FY22-26 Strategic Plan for Public Comment

Latest Developments: Advisers

• SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule
• SEC Requests Information and Comment on Whether Index Providers, Model Portfolio Providers and Pricing Services Are Acting as Investment Advisers
• SEC Staff Bulletin Addresses Standards of Conduct for Broker-Dealer and Investment Adviser Conflicts of Interest

Latest Developments: Funds

• Industry Comments on SEC’s Proposed ESG Disclosure Rule and Names Rule Amendments 

Latest Developments: Enforcement

• SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both