Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC to Extend “Temporary” Broker-Dealer Principal Trade Rule for Another Two Years

The SEC has proposed to amend Rule 206(3)-3T under the Advisers Act, a temporary rule that establishes an alternative means for dually registered...

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OCIE to Commence Sweep Exam of Firms Offering Liquid Alt Funds

OCIE, the inspection arm of the SEC, will begin later this summer or early fall a sweep examination of alternative mutual funds (sometimes called...

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SEC Brings Fund of ETFs Case

The SEC brought an administrative action against Keith MacDonald Summers, the manager of Tricoastal Capital Partners, LLC (TCP Fund),  for, among...

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Adviser Charged with Improperly Converting His Brokerage Customers Into Advisory Clients

A federal court jury in Boston, Massachusetts, returned a verdict against registered investment adviser Sage Advisory Group, LLC, and its principal,...

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Treasury Proposes Customer Due Diligence Rules

The Financial Crimes Enforcement Network (FinCEN) Department of the U.S. Treasury recently issued a notice of proposed rulemaking regarding customer...

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