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Top 5 Regulatory Alerts – April-June 2018

 

Here are our Top 5 Regulatory Alerts for April-June 2018, ranked by significance.  We have also included the Top 5 most read Alerts.

 

Top 5 Regulatory Alerts – April-June 2018

  1. SEC PROPOSES BROKER BEST INTEREST STANDARD (4/19/18)
  2. SEC PROPOSES ETF RULE (6/29/18)
  3. INTERNET COMPANY PAYS $35 MILLION FOR FAILING TO TIMELY DISCLOSE HACK OF CUSTOMER INFO (4/25/18)
  4. SEC OFFICIAL SAYS THAT A CRYPTOCURRENCY IS NOT A SECURITY, ABSENT A SPONSORED OFFERING (6/15/18)
  5. SEC FINES 13 FIRMS FOR FAILING TO FILE FORM PF (6/4/18)

 

Most Read – April-June 2018

  1. SEC WARNS ADVISERS ABOUT FEE AND EXPENSE PRACTICES (4/13/18)
  2. BROKER-DEALER FINED FOR FAILING TO PRODUCE EMAILS (5/22/18)
  3. LAWYER CHARGED WITH PREPARING MISLEADING REGISTRATION STATEMENT (5/14/18)
  4. SEC CHARGES HEDGE FUND FIRM WITH INFLATING VALUATIONS TO SLOW REDEMPTIONS (5/10/18)
  5. FUND ADMINISTRATOR LIABLE FOR MISCALCULATING FUND NAV (4/27/18)