“We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...
Several states are challenging the Biden Administration rule and a federal appeals court Nov. 6 has temporarily blocked its implementation
Firms should consider the source of the client’s funds and the jurisdiction in which the client is located, among other factors. If a client is ...
Be sure your Form ADV, advisory agreements and your P&Ps agree on the source of the assets to be used in the calculation Be aware ...
Now, for the first time, a criterion for the division granting cooperation credit is how a firm handles an SEC exam
In the event of a breach, take three actions: 1. prioritize data preservation (“it’s like a crime scene”) 2. forestall any restoration until the forensic ...
He would give a client 'a completed check authorization form, but misrepresented how the authorization would be used.' Other times he 'altered the payee line ...
Roisman would like to see the Commission clear up industry confusion about whether to notify the SEC and investors of a cyber breach
A checklist guides each potential move with a home office supervisor reviewing each one
Say goodbye to the seminal Clover no-action letter from 1986 and scores of other key SEC guidance over the decades related to advertising and marketing ...
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