This hour-long webinar features tips to prepare the new SEC-mandated form

SEC exams continue to hammer on off-channel communications, adjusting to the DOL's new exemption, Peirce decries pay-to-play crackdown ahead of November's elections, FINRA files fresh ...

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

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 ...