"The Committee will discuss a draft recommendation concerning the Commission’s recent digital engagement practices proposal for investment advisers and broker-dealers.  This proposal’s breadth, which the ...

"I would note that under those current rules and interpretation, brokers and advisers cannot address these conflicts of interest through disclosure alone"

"Under both Reg. BI and the fiduciary duty standards, disclosure of a conflict of interest is the starting point to addressing conflicts, but satisfying the ...

The nation's High Court again considers a case that targets the SEC, how the IAA did last year, tips to document an accredited investor and ...

A decision could wield a death blow not only to the SEC’s ALJ system but the administrative legal structures of other federal agencies. It also ...

There’s plenty of talk that the SEC will revisit the accredited investor thresholds but no action yet. You still have flexibility in how you verify ...

Like many of us, the Investment Adviser Association enjoyed a reversal from the pangs of the pandemic. According to the IAA’s latest IRS Form 990—obtained ...

Smaller firms comprise 90% of FINRA’s membership—posing unique challenges for the SRO when it crafts its rules

FINRA is in the throes of developing an online, centralized content catalog that broker-dealers can optionally leverage to administer education and training for their continuing ...

Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...