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A compilation of enforcement and non-enforcement actions (April 2013)

The ongoing debate about shoring up the oversight of federally registered investment advisers found another voice (or at least the reintroduction of

On March 4, 2013, the SEC released a risk alert in connection with Rule 206(4)-2, also known as the "Custody Rule," issued under the Investment

During recent public appearances, spokespersons for the SEC’s Division of Investment Management’s Risk and Examinations Group (REG) provided

Since shares of exchange traded funds (ETF Shares) are continuously offered and are also traded in secondary markets, various issues arise under the

Recently, the SEC filed a complaint in federal court in Connecticut charging a pair of hedge fund managers (Messrs. David Bryson and Bart Gutekunst

The SEC staff has announced that reported after-tax returns for mutual funds and exchange-traded funds must be adjusted to reflect the 3.8 tax on

Shareholders of a family of exchange-traded funds have brought suit against the ETFs' investment adviser and trustees for allegedly excessive

In a recent newsletter, we reported on the enforcement action that was brought against eight former members of the boards of directors overseeing

Under Rule 206(4)-7 of the Investment Advisers Act of 1940, SEC-registered investment advisers are required, at least annually, to review the

One of the hot topic areas of concern for the SEC is the use of material non-public trading information by professionals within the financial