Investment Advisers

MS sold customers more expensive share classes when less expensive share classes were available
"You should take it upon yourselves to improve communications with your investors"
Proposal would rename old rule, keep some elements and change others
New proposed SEC rules on advertising, solicitation, books and records and more
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
One of the audiences the Commission targets is investors
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
OCIE releases results of IC exams
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
SEC claims adviser failed at its fiduciary duty; advisers fires back
This is the SEC new proposed advertising rule
SEC proposes changing the advertising rule for the first time in decades
Settlement follows criminal case plea that could land the CCO in jail
Your Nov. 4, 2019 RCW Weekly Briefing
A guide to help you comply with the custody rule
SEC FAQs to help you with Form ADV
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The SEC is considering rules that it hopes will speed up exemption applications. In a 55-page rulemaking notice released Oct. 21, the Commission says it ...
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications

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