Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Broker-Dealers (574)
Your search for Broker-Dealers returned 574 results.
Sorted by Date

7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/06/2019 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advi...
6/06/2019 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advi...
6/05/2019 | Content area: Investment Adviser
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS...
5/30/2019 | Content area: Investment Adviser | Broker-Dealer
It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their fiduciary dut...
3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
9/20/2018 | Content area: Investment Adviser
The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary fo...
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
8/30/2018 | Content area: Investment Adviser | Broker-Dealer
After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commissi...
8/02/2018 | Content area: Investment Adviser
The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC Commissio...
5/24/2018 | Content area: Investment Adviser
The Commission is proposing new rule 139b under the Securities Act of 1933. If adopted, the proposal would establish a safe harbor for an unaffiliated...
2/15/2018 | Content area: Investment Adviser | Broker-Dealer
Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...
11/30/2017 | Content area: Investment Adviser
SEC enforcement has undergone “considerable transformation” since the change of the administration, according to a new report released by a Georgetown...
11/16/2017 | Content area: Investment Adviser
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s ...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US