Kevin McNiff

3 weeks ago | mondaq.com | Stephen Meli |Kevin McNiff |James McGrath

On March 19, 2025, the Securities and Exchange Commission (SEC)staff issued an update to its frequently asked questions(FAQ)1 guidance with respect to registered investmentadvisers' compliance with Rule 206(4)-1 (Marketing Rule) underthe Investment Advisers Act of 1940 (Advisers Act).

3 weeks ago | jdsupra.com | James McGrath |Kevin McNiff |Stephen Meli

On March 19, 2025, the Securities and Exchange Commission (SEC) staff issued an update to its frequently asked questions (FAQ)[1] guidance with respect to registered investment advisers’ compliance with Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940 (Advisers Act).

Oct 30, 2024 | mondaq.com | Kay A. Gordon |Kevin McNiff |James McGrath

On October 21, 2024, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission (the "SEC") announced its annual 2025 examination priorities (the "Examination Priorities").1 First published by the Division in 2013, the Examination Priorities are an industry outreach initiative by the SEC providing advisers and other market participants with valuable resources designed to assist them in updating their compliance policies, procedures, and practices to address...

Jul 18, 2023 | natlawreview.com | Kevin McNiff

On June 8, 2023, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) released a risk alert (the “Risk Alert”) outlining the SEC’s broadened examination priorities with respect to revised Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”).