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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’ ...

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 ...

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 ...

RCW sampled early reactions to the proposal

It “is unlikely that the firm principals will ever be repaid for these funds,” the government wrote

Federal Register version. You have until May 8, 2023 to comment

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) ...

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

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"