Home Featured


High quality 3d rendering of a sandstone 'BANK' sign breaking up with cracks
While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...
Masked theif wearing all black steals computer secrets or commits identity theft on an office or home laptop computer. Cyper crimes concept.
The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...
Word In Wooden Cube
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...
Young displeased woman using megaphone and shouting while protesting with group of people on city streets.
RCW sampled early reactions to the proposal
Inside The Old Idaho State Penitentiary
It “is unlikely that the firm principals will ever be repaid for these funds,” the government wrote
bank vault from which wads of dollars come out. 3d render
Federal Register version. You have until May 8, 2023 to comment
Handsome young African man in shirt using computer and smiling while working in the office
The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...
Worried woman in the night buying online at home
If the SEC bothers to put out an exam alert for a regulation that’s a decade old, you know it’s looking to make a statement
Court of Law and Justice Trial Session: Imparcial Honorable Judge Pronouncing Sentence, striking Gavel. Focus on Mallet, Hammer. Cinematic Shot of Dramatic Not Guilty Verdict. Close-up Shot.
The effect of the decision doesn’t vacate the rollover exemption but could well confuse advisers as to how to comply with it
Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"

Copyright PEI Media

Not for publication, email or dissemination