Commission proposing tweaking record-keeping rule in light of advertising proposal
SEC FAQs to help you with Form ADV
Federal authorities have indicted a former SEC investigator on charges he tried to sweeten a prospective employer by leaking details of an ongoing investigation to ...
Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read the ...
FINRA has gotten the jump on the annual release of its examination findings and observations. Traditionally a year-end delivery, the SRO Oct. 16 published its ...
A unique donnybrook is playing out in federal court that pits a federal judge against the CFTC over claims the Commission violated the judge’s confidentiality ...
Tips to avoid some cybersecurity blunders
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 ...
Prepare now if you’re at a larger CPO for the potential of a CFTC exam next year. The visit would be separate from whatever the ...
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...