Advocacy Updates

SEC’s Use of In-House Administrative Law Judges Challenged

A private equity adviser questioned the practice, which could make other SEC enforcement actions eligible for a rehearing.

False Claims Lead CCO to Trouble with SEC

This enforcement action is a good reminder for chief compliance officers to make sure information is accurate on Form ADV filings.

Webinar to Focus on Opportunity Zones

Opportunity Zones were designed to steer dollars towards traditionally underserved communities. To learn more, register for the upcoming ACG-Wipfli webinar.

Volcker Rule Proposal Would Open Up Some Banks to Private Equity

A joint proposal to alter the Volcker Rule would open up banks to private equity firms and hedge funds–but would exclude community banks.

Changes Coming to SEC Staff

The SEC will appoint a new commissioner after Kara Stein left the agency earlier this month and Dan Kahl has been named Deputy Director of the OCIE.