Hugh Kennedy
The SEC’s Office of Compliance Inspections and Examinations has named Marc Wyatt as its new deputy director. He’s been with the Commission since December 2012 ...
On the same day the SEC reported bringing a record amount of enforcement actions in FY 2014 and touting a number of “first-ever” cases, the ...
A record 755 enforcement actions filed in 2014 has SEC Enforcement Director Andrew Ceresney deeming FY 2014 “a banner year for the Enforcement Division.” His division handled twice ...
Sweep exams, risk alerts, regulator roundtables, pilot surveys, trade association guidance and almost daily headlines have made the issue of cybersecurity impossible to ignore for ...
You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...
The clock is ticking on SEC Chair Mary Jo White’s stated desire to determine by year’s end what, if any, options to pursue when it ...
The NASAA has released preliminary findings from its annual enforcement survey. The highlight: cases stemming from state securities regulators in 2013 resulted in 33% higher ...
The SEC, FINRA and MSRB are partnering to host the first-ever Compliance Outreach Program for municipal advisors. The event will take place in Chicago at ...
This section provides two “hardship exemptions” from the requirement to make Advisers Act filings electronically with the Investment Adviser Registration Depository (IARD). (a) Temporary hardship ...
For purposes of section 203A of the Act (15 U.S.C. 80b-3a) and the rules thereunder: (a)(1) Investment adviser representative. “Investment adviser representative” of an investment ...