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SEC NEWS
SEC NEWS
- SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managerson June 23, 2022 at 9:00 pm
The Securities and Exchange Commission today adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to be filed or submitted electronically. The amendments also […]
- SEC Announces Spring 2022 Regulatory Agendaon June 22, 2022 at 7:45 pm
The Office of Information and Regulatory Affairs today released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions. The report, which includes contributions related to the Securities and Exchange Commission, lists short- and […]
- SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violationson June 21, 2022 at 12:57 pm
The Securities and Exchange Commission today charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict […]
- SEC Charges Firm and Five Brokers with Violations of Reg BIon June 16, 2022 at 2:00 pm
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas […]
- SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers, and Pricing Serviceson June 15, 2022 at 9:25 pm
The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- The Charles Schwab Corporationon June 13, 2022 at 3:40 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- Exchange Act Sections Question 101.01on June 9, 2022 at 10:00 pm
Compliance and Disclosure Interpretations - Exchange Act Sections - Question 101.01
- First Republic Investment Management, Inc.on May 19, 2022 at 7:15 pm
Waiver of disqualification pursuant to Rule 506(d)(2)(ii) of Regulation D Release No. 6030
- IndexIQ Active ETF Truston May 11, 2022 at 4:25 pm
Response of the Office of Mergers and Acquisitions
- Imperial Oil Ltd.on May 4, 2022 at 8:10 pm
Response of the Office of Mergers and Acquisitions