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Proposed rule's regulatory language regarding testimonials
Reactions to the SEC's new slant on marketing
New rules take effect with the first of the year
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
This is the SEC new proposed advertising rule
SEC proposes changing the advertising rule for the first time in decades
FINRA’s second annual report on the state of brokerage firms, registered reps, and market activity paints a good news, bad news picture. The SRO’s 2019 ...
The curious case of an airline baggage handler
Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposal ...
It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of a recent ...
Former adviser Ray Lucia succeeded in besting the SEC before the nation’s highest court in a ruling last year that the agency’s ALJ system was ...
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The ...
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...
The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with ...
They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investment ...
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case that ...
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be ...
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor protection and law enforcement ...
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). ...
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