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Proposed rule's regulatory language regarding testimonials
One of the audiences the Commission targets is investors
Lessons learned and best practices to bolster your cybersecurity
SEC proposes changing the advertising rule for the first time in decades
Former SEC official and now Proskauer Partner Robert Plaze permits RCW to share his guide to the Advisers' Act custody rule.
Reactions to the SEC's new slant on marketing
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
Your Nov. 4, 2019 RCW Weekly Briefing
Commission proposing tweaking record-keeping rule in light of advertising proposal
This is the SEC new proposed advertising rule
Lauri London, counsel at Cohen & Buckmann, pens her analysis of the SEC's IA fiduciary duty interpretation and whether the interpretation plows new legal ground.
A new release from the SEC’s Division of Investment Management lays out the staff’s “views” on revenue sharing disclosure while admitting it’s not altering any ...
Firms should err on the side of disclosure when they’re facing cybersecurity threats, one of the SEC’s top enforcement officials said Oct. 23. “The fact ...
Reaction to the SEC's advertising proposal, a CCO who faces prison, your peers and social media and much more
Download the latest quarterly compliance calendar from RCW
New proposed SEC rules on advertising, solicitation, books and records and more
A subscriber-request story
Proposal would rename old rule, keep some elements and change others
Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019). The first exam letter dives ...
The 2020 will cover a broad array of topics
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