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IA Rules & Regulatory Actions

The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...
Voya failed to disclose, in its Forms ADV the conflict of interest arising from its policy requiring that advisory clients pay upfront commissions for purchases ...
This is the SEC's new IA advertising rule approved in December 2020
"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...
This rule "will modernize the regulatory framework for funds to reflect the broad ways in which funds’ use of derivatives has developed over past decades, ...
OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...
This DOL final rule lays out what an ERISA fiduciary must do if it votes proxies on behalf of investors
We encourage funds to provide tailored disclosures of risks in the emerging markets in which they invest, and related risks, so that investors are able ...
A New York dual registrant will pay $8 million to settle SEC claims that the firm lacked the proper policies & procedures to ensure they ...
The required margin for each long or short position in a security future shall be fifteen (15) percent of the current market value of such ...
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