A recent jury decision in a Securities and Exchange Commission (SEC) enforcement action underscores the risks and complexities facing investment adviser firms whose representatives also hold insurance licenses and sell fixed indexed annuities (FIAs) to advisory clients.
Under New Leadership, SEC Brings Action Against Adviser Over Converting Account Types
February 18, 2025
Under the new leadership of Acting Chair Mark Uyeda, the U.S. Securities and Exchange Commission (“SEC”) recently issued and settled a cease-and-desist order that serves as a stark reminder: an investment adviser’s fiduciary duty to act in client’s best interests remains the bedrock for an investment adviser.
Deadline Approaching for Filing the Form 13F with the SEC
January 19, 2025
As we move into 2025, it is crucial for investment adviser firms to stay on top of their regulatory obligations, particularly the requirement to file Form 13F. This filing is mandated by the U.S. Securities and Exchange Commission (SEC) for investment adviser firms which exercise investment discretion over $100 million or more in Section 13(f) securities as of the last trading day of any month during the past calendar year.
Preliminary Renewal Statement Now Available
November 12, 2024
Preliminary Renewal Statements Available Monday
November 08, 2024
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