For years, some on the SEC Commission have called for opening up private fund investing to non-accredited investors. With a new administration in office, the ...
Set minimum and maximum G&E amounts in your software system. Anything over a threshold must be approved by compliance
"We want to take this opportunity to clearly articulate our approach to achieving our shared goal of improved information security through the implementation of the ...
Predictions greeted the new SEC under the Trump Administration that staff would be unleashed to help the industry navigate the legal landscape. They’re proving true
The growth in the numbers of SEC RIAs rose nearly 3% in the last year
Sources tell RCW that EDGAR doesn’t deserve the blame for the N-PX conversion issue. That Excel does. If this is true, you may find yourself ...
If you sell insurance annuities, you may wish to ensure that you disclose the exact amount that you receive in compensation
Mystery engulfs what a shifting SEC may focus on under new Chairman Paul Atkins but one topic that may rise to the surface is advisers’ ...
These are our top stories from April 2025
The 16 firms pointed to an SEC enforcement settlement in January over off-channel communications that they contended ended with better terms than theirs