IA Rules & Regulatory Actions

IM won't recommend enforcement if the advisers "treats a Reserved Powers Trust as a Non-U.S. Person (each as described and defined in your letter) in ...
"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 statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...
"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...
When "a market quotation for a portfolio security is not readily available or if the investment is not a security, the Act requires the fund to use ...
In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...
Steven Pagartanis was a registered representative associated with broker-dealers registered with the Commission. Pagartanis, 60 years old, is a resident of East Setauket, New York ...
During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...
The Director of the Division of Examinations is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national securities associations, clearing agencies, ...
Munish Sood made eight payments totaling $24,500 to Agent2. In return, Agent2 referred several amateur basketball players (now NBA players) to PWM. Three of those ...
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