Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...

The Division encourages advisers to reflect upon their own practices, policies, and procedures and to implement any appropriate modifications to their training, supervisory, oversight, and ...

IA penalized $60K for running afoul of the Commission's pay-to-play rule

FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"

Commissioner suggests proposed rule preventing non-lawyers from getting compensated to represent investors in arbitration proeedings could exacerbate problems

Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches

A staffer at the adviser "made a campaign contribution to a candidate for elected office in Minnesota, which office had influence over selecting investment advisers ...

"Individual liability for disclosure failures related to AI as a security threat may therefore be of particular interest to you"

"This case is yet another illustration of the overbreadth of the pay-to-play rule and another reminder of the way the rule hampers legitimate political participation"

"The regulatory gap described, therefore, is more optical than substantive; closing it amounts to little more than grade-grubbing"