Hugh Kennedy
Association says standards would impose unnecessary burdens on investment managers, are of questionable benefit to investors, and create confusion
The new interpretations impact the net capital rule and the customer protection rule
The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products
The price tag of the fees accruing to fund investors has been put at more than $220 million a year
FINRA will implement changes effective Oct. 1 to its private placement rules
Share class selection, fee markup practices, and best execution all cited in enforcement action
SRO is asking B-Ds to "promptly" notify their risk monitoring analyst about digital assets plans
Current lack of regulation in the cryptocurrency markets deemed "unsustainable" by senator
New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities
The number of individual investors working with advisers has grown nearly 40% over the past two years