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Thousands of instant messages sent and received through reps' cell phones not captured, reviewed, retained
'Investors were unable to make a fully informed decision,' SEC claims as it hints at 'ongoing' developments
The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...
It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...
'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'
In reaffirming 'existing obligations,' the SEC also gives examples of what advisers should and shouldn’t do
The new proposal would hand compliance a second job
'The erosion of fiduciary duties has magnified these risks,' Frehrichs says
Commission has been earthquake-proofing since Lucia decision
The settlement with Aaron Capital represents one of the first Form CRS cases originated by FINRA
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