SEC Risk Alert: Investment Advisers' Compliance with Best Execution Obligations

Last month, the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert with information concerning common deficiencies in investment advisers’ compliance with their best execution obligations under the Investment Advisers Act of 1940 (the “Advisers Act”).  

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Supreme Court Addresses Hiring of SEC Administrative Law Judges

Earlier this summer, the U.S. Supreme Court ruled that the SEC used unconstitutional methods to hire Administrative Law Judges. In a highly anticipated decision, the U.S. Supreme Court ruled in Lucia v. SEC, 138 S. Ct. 2044 (2018), that the Administrative Law Judges (“ALJs”) of the Securities and Exchange Commission (“SEC”) are inferior Officers of […]

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