Just when you thought the concept of harmonizing investment adviser and broker-dealer rules has become an anachronism, the idea took a small step toward reality ...
An industry trade group has urged the SEC to get behind a 'public-private partnership' to urge anonymous submissions of known cyberattacks to alert the industry ...
Predictions greeted the new administration, forecasting that some proposals would surely be withdrawn but the 14 coming at the same time must surprise even the ...
It appears the FINMA capitulated, agreeing to allow the Commission examiners access to firms’ 'books and records, including personal data,' as well as to 'conduct ...
The pay of CCOs increased nearly 3% in 2025, according to a new survey from an executive search firm for financial services companies
SEC tenure included stints in the divisions of Examnations, Trading and Markets, and Enforcement
Recommendations around mandatory arbitration clauses in advisory contracts, data show rising CCO salaries, public-private partnership proposed to combat cyber crimes directed at financial services and ...
"I have directed the staff to undertake a comprehensive review of Form PF. I have serious concerns whether the government’s use of this data justifies ...
"I suspect that we will continue to accommodate requests to extend this compliance date until we have significantly revised or undone this rule"
"In moving forward, it is important to balance the sensitivity of the data included in Form PF with any corresponding benefits. The costs associated with ...