Investment Advisers

Smiling african businessman handshaking greeting caucasian businesswoman at group meeting negotiation, black satisfied entrepreneur welcoming partner shaking hand in lawyers office, respect concept
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 ...
Top view panorama banner of business team assembling jigsaw puzzle over table symbolize business partnership and collective teamwork for HR recruitment and job seeker background. Shrewd
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 ...
Pencil Eraser on white.
Predictions greeted the new administration, forecasting that some proposals would surely be withdrawn but the 14 coming at the same time must surprise even the ...
Famous Zermatt village with the peak of the Matterhorn in the Swiss Alps
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
Business is in the profits. A young investor is happy with the money coming in.
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 ...
SEC chairman Paul Atkins
"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 ...
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