These items become effective this year
The report states that firms must “accept the reality that cyber breaches are inevitable”
The proposal would keep the current financial tests for establishing who is an accredited investor but also would add new categories
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...
“There’ll be a lot more ads to approve” if the proposal is finalized
Sanctioning of CCO illustrates perils facing small firm CCOs
SEC proposes changing the advertising rule for the first time in decades
The SEC doesn’t require that firms encrypt sensitive documents
That result doesn’t sit well with the Investment Adviser Association