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Any final rule would replace decades worth of SEC guidance
The 2020 will cover a broad array of topics
A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
A subscriber-request story
It doesn't always pay to listen to the boss
Reactions to the SEC's new slant on marketing
One of the audiences the Commission targets is investors
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
SEC FAQs to help you with Form ADV
Federal authorities have indicted a former SEC investigator on charges he tried to sweeten a prospective employer by leaking details of an ongoing investigation to ...
Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read the ...
FINRA has gotten the jump on the annual release of its examination findings and observations. Traditionally a year-end delivery, the SRO Oct. 16 published its ...
A unique donnybrook is playing out in federal court that pits a federal judge against the CFTC over claims the Commission violated the judge’s confidentiality ...
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 ...
Prepare now if you’re at a larger CPO for the potential of a CFTC exam next year. The visit would be separate from whatever the ...
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...
Elad Roisman
Many have struggled to define “best execution” and an SEC Commissioner would like to see the Commission add some clarity. Elad Roisman is urging the ...
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