The Commission has rushed out a new rule so as to give municipal advisers a way to comply with congressional intent and register with the ...
You may hear a unique question from SEC examiners before they walk in your door: "What's your dress code?"The Commission recently resolved a grievance filed ...
The SEC's revision of the custody rule has played a role in some custodians rethinking their rules for money transfers.Both Fidelity and Schwab are tweaking ...
The time period to comment may have been short and placed smack in the dog days of August but that didn't dampen response to the ...
Make sure you conduct an inventory of the hardware and software that your firm allows to be used for electronic communications to conduct firm business. ...
FINRA's latest version of a proposed change to its outside business activities' rule would effectively require you to supervise reps' OBA.Industry pros say they're worried ...
The SEC seemed to have its case against Ted Urban sealed tight. It didn't look good for theformer general counsel at Ferris Baker Watts in ...
It's perhaps the scariest part of the SEC's new Form ADV, Part 2 rule: the need to create brochure supplements for staff who provide clients ...
The agency is adding to its frequently asked questions around the custody rule. The most significant change is an addition made to a question about ...
Count this as an upcoming SEC requirement put off by the new Dodd-Frank reform law: The agency has released a no-action letter stating it wouldn't ...