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'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'
The new ad rule requires firms to be able to substantiate the ads’ claims. 'This is a great tool for us,' said the SEC ...
One bright spot about the new SEC final rule that will force registered funds and institutional managers to report more about their proxy votes is ...
The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...
The agency touts 760 total enforcement actions in FY '22, a 9% increase over the prior year
"You’re the first line of defense—not just, crucially, for investors, but also for your colleagues, who are working to meet various revenue goals for your ...
EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...
Don't trumpet an award based only on AUM or other criteria not related 'to the quality of the investment advice' or the ad could be ...
It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran
Swing pricing and 'hard close' would be imposed on most funds
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