Beginning next month, branch managers within OCIE will be known as "exam managers" and will be accompanying examiners in the field, the latest modification in ...
Like father, like son. The SECalleges a former Goldman Sachs employee engaged in insider trading by passing on information to his father on coming ETF ...
This could be one lottery you wouldn't want to win. Staffers within the SEC's Office of Investment Adviser Regulation have been instructed to "read a ...
This is an SEC exam roadmap for RIAs prepared by Linda Shirkey of The Advisor’s Resource in Houston.
Last week the Municipal Securities Rulemaking Board (MSRB) announced it was delaying its proposals related to municipal advisors until the SEC finalizes its new municipal ...
You may want to advise your clients to be on the lookout for too-good-to-be-true scams masquerading as legitimate investments on social media sites. NASAA has ...
John Walsh, OCIE's long-time chief counsel announced last week that he will leave the agency after 23 years. This is expected to be his last ...
Lawmakers heard an important voice last week saying an SRO for advisers will be needed if Congress doesn't give the SEC the money to examine ...
At last week's congressional hearing probing potential modifications to the fiduciary duty standard (see related story), one lawmaker recalled his past experience as both an ...
The internal materials you use to educate and train your reps on your firm's services and products would be subjected to the same approval and ...