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LATEST NEWS

Dodd-Frank ordered ABS rule finalized

Advice ahead of your next breach

Higher risk profile doesn’t justify excessive trades

PF rules a new Magna Carta, Birdthistle says

Trade groups back challenge to new PF rules

Due diligence strategies to bolster your approach

BEST PRACTICES SPOTLIGHT

The top 10 RCW stories for October

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

Prohibition Against Conflicts of Interest in Certain Securitizations

Securities Act Rule 192 – Conflicts of interest relating to certain...

London-based B-D fined $822k over host of Reg BI violations

WEBINARS

December 5 – ESG: Compliance, valuation, risks, opportunities

VIDEOS

Guidance for Advisers Dabbling Early on with AI

INVESTMENT ADVISERS ACT

Investment Advisers Act

SPEECHES

SEC Chairman Gensler addresses advisory committee

SEC Commissioner Peirce raises accredited investor questions

SEC Commissioner Crenshaw touches on the accredited investor definition

DOWNLOAD LATEST WEEKLY BRIEFING

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