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SEC Announces Examination Priorities for 2019

USA - January 8 2019 On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (the SEC) released...

Laurin Blumenthal Kleiman, David A. Form.


U.S. Securities and Exchange Commission Issues Two New Frequently Asked Questions About “Inadvertent Custody”

USA - June 28 2018 On June 5, 2018, the Securities and Exchange Commission (SEC) staff updated its “Staff Responses to Questions about the Custody Rule” (FAQs) by...

Laurin Blumenthal Kleiman, Kara J. Brown, Cynthia L. Wells, Joyce E. Larson.


2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

USA - February 28 2018 Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the...

Laurin Blumenthal Kleiman, James B. Biery, David A. Form, Nathan A. Howell, Mark D. Whatley.


SEC Publishes Important Guidance on Common Advertising Rule Compliance Issues

USA - October 5 2017 This Sidley Update summarizes a Risk Alert that the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations...

Laurin Blumenthal Kleiman, Kara J. Brown, David A. Form.


Upcoming October 1, 2017 Compliance Date for Investment Advisers to Use Revised Form ADV

USA - August 23 2017 Among other things, the Amendments: For a more detailed summary of the Amendments, please refer to the Sidley Update published September 9, 2016......

Laurin Blumenthal Kleiman, Kara J. Brown, Cynthia L. Wells, Joyce E. Larson.