HeyJaredLeslie S. Cruz
- Indexed articles, last 90 days
- 3
- Latest publication
- Sep 23, 2026
- Outlet visibility, for Mondaq
- Top 500K sites
- Earliest in this view
- Jul 28, 2026
Latest articles
SEC Exam Staff Issues Risk Alert On Investment Adviser Annual Compliance Reviews (opens the original)
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On September 14, 2026, the staff of the US Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Examinations (the “Division”) issued a Risk Alert (the “Risk Alert”) setting out their examination observations of SEC-registered investment advisers’ (“RIAs”) annual compliance reviews, as required by Rule 206(4)-7 (the “Compliance Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). The Compliance Rule requires RIAs to, among other things, adopt and implement wr
SEC Proposes Rescission Of Investment Adviser “Pay-to-Play” Rule (opens the original)
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On September 3, 2026, the US Securities and Exchange Commission (“SEC” or the “Commission”) proposed the rescission of Rule 206(4)-5 under the Investment Advisers Act of 1940 (the “Advisers Act”), widely known as the “pay-to-play” rule. The SEC will solicit comments on the proposal for 60 days following publication in the Federal Register. Rule 206(4)-5, adopted in 2010, generally makes it unlawful for an investment adviser to receive compensation for providing investment advisory services to a
Reg E-Delivery: Giant Leap Or Baby Step? (opens the original)
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On July 16, 2026, the U.S. Securities and Exchange Commission (the “SEC”) proposed new Regulation E-Delivery (“Reg E-Delivery”), a potential modernization of the default manner in which issuers, broker-dealers, investment advisers, and other market participants provide information to investors in our increasingly electronic world. In the words of SEC Chairman Paul Atkins, “[t]oday, the Commission took an important step toward allowing the financial services industry to harness technology for the
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