Home Investment Advisers

Investment Advisers

Business people dressed in smart casual clothing working in office
“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”
Law and Justice Court Case Witness Solemnly Swears that the Evidence She Shall Give Shall be the Truth and Nothing but the Truth Before Testifying to Lawyers and Judge in Courthouse.
This document discloses the division's policies around requesting information, whether voluntarily or via a subpoena
Judge about to bang gavel on sounding block in the court room
An alert to comply with an upcoming new SEC rule, a follow-up on the court decision to scuttle the Commission's PF rules, a controversial exam ...
modern woman worker in a light business suit in modern green office with documents and laptop.
Broadridge gives RCW permission to share the company's diagram with you
"The elimination of fixed commission rates thus raised questions for investment managers and the capital markets: for example, would managers be required by their fiduciary ...
An analyst uses a computer and dashboard for data business analysis and Data Management System with KPI and metrics connected to the database for technology finance, operations, sales, marketing
Treasury seeks to understand better how AI is being used within financial services, and the opportunities and risks presented by the technology. Comments are due ...
Pediatrician measures Asian female child's height during visit of child with her mother to medical clinic for consultation. Pediatrics
The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...
"Last year, we filed 784 enforcement actions and conducted approximately 3,000 examinations"
Two businessmen reading a document on clipboard
This is the Division of Examinations' exam brochure
Gary Gensler
"It’s important to recognize, however, that an AI model’s optimization function may incorporate conflicts of interest between the platform and its customers. When brokers or ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination