Jeremy Cantor

1 month ago | stocktonia.org | Tammy Eden Shaff |Jeremy Cantor

This column was first published by the California Health Report, which reports on communities across the state about health equity issues. Housing affordability and homelessness are a top concern across California communities. Solutions so far have focused on closing the gap between housing supply and demand, but that will take years, decades or generations to fully implement.

1 month ago | calhealthreport.org | Tammy Eden Shaff |Jeremy Cantor

Housing affordability and homelessness are a top concern across California communities. Solutions so far have focused on closing the gap between housing supply and demand, but that will take years, decades or generations to fully implement. In the meantime, local communities are trying to figure out how to address the conditions and challenges unhoused individuals experience that take years off their lives and make it harder for them to return to stable housing.

Oct 30, 2024 | mondaq.com | Alex Lipton |Jeremy Cantor |Scott Moss

On September 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with an investment adviser for, among other things, failure to register with the SEC as an investment adviser. The SEC found that the unregistered investment adviser was "operationally integrated" with its SEC-registered affiliate such that the two entities should have been treated as one for purposes of determining registration requirements.

Oct 29, 2024 | jdsupra.com | Jeremy Cantor |Alex Lipton |Scott Moss

On September 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with an investment adviser for, among other things, failure to register with the SEC as an investment adviser. The SEC found that the unregistered investment adviser was “operationally integrated” with its SEC-registered affiliate such that the two entities should have been treated as one for purposes of determining registration requirements.

Sep 9, 2024 | mondaq.com | Jeremy Cantor |Scott Moss |Sara Lazarevic

On August 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements regarding "off-channel communications."1 As part of its Off-Channel Communications Initiative,2 the SEC settled with 11 broker-dealers, three investment advisers, and 11 dual-registered broker-dealers and investment advisers (collectively, the Firms) for a combined $392.75 million in fees related to widespread recordkeeping failures by such firms.