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
Commission closes book on 'say-on-pay,' imposes 14 new voting categories
SEC examiners have reported problems: 'we are troubled that the Commission staff have observed some advisers unable to provide timely responses to examination and enforcement ...
The proposed rule and the preamble give examples of what would be in the rule and what services would be outside the rule
The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants