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Seven things an adviser should not do when it comes to advertising
Altered reports were delivered to OCIE and Enforcement by the CCO
This latest batch tackles form format, delivery, affiliates sharing their form, disciplinary disclosures and more
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
Leissner received more than $43M in illicit payments for his role
compliance staff failed to create P&Ps to ensure that reps were being monitored when placing clients in inverse ETFs
A guide to help you comply with the custody rule
The new rules are a capstone on Chairman Jay Clayton's SEC career but they'll come over the objections of Democratic Commissioners and state regulators.
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
Some firms have already published their Form CRS. Here are some examples
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