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There may be a reason this change wasn't mentioned by SEC staff recently—it attracted nearly 2,300 comments—many of them urging the agency to drop the ...
The association asserts that "NO personal information has been compromised”
OCIE examined 15% of SEC-registered IAs in fiscal year 2020
More signs to look out for include a senior client who has difficulty with “high-level tasks,” like understanding financial concepts about investing
The Commissioner urges better protections for retail investors and encourages investing in public companies given the risk of these investors pursuing private investments
The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...
The order applies to those with series 7, 82 and 65
Jay Clayton
The new FAQs provide guidance on disclosing disciplinary histories on Form CRS
Elad Roisman
"Although interconnected, I see a distinction between the SEC’s role in making rules and enforcing compliance with those rules, on the one hand, and dictating ...
Jay Clayton
Clayton ticks off the agency's accomplishments in what may be seen as his swan song
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