Lessons learned and best practices to bolster your cybersecurity
Rulemaking recommendation on new disclosure framework for variable products coming
Failures tied to share class selection calculator trip up dual registrant
Proposal would rename old rule, keep some elements and change others
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 ...
One of the audiences the Commission targets is investors
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
A guide to help you comply with the custody rule
SEC FAQs to help you with Form ADV
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The SEC is considering rules that it hopes will speed up exemption applications. In a 55-page rulemaking notice released Oct. 21, the Commission says it ...
Learn from your peers who have survived mergers
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 ...
Michael Diamond once worked for Ringling Brothers but couldn’t have envisioned the circus he found himself part of when he applied to work at Worldwide ...
Cipher Technologies ($28M in AUM) in Greenwich, Conn., keeps pitching to the SEC its idea to start a closed-end bitcoin fund but once again the ...
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 ...
Know state escheatment laws work both ways
Kevin and Amanda Merrill married in 2015. They have only themselves to blame for their separation. That’s because a federal judge Oct. 11 sentenced Kevin ...
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