Disclosure

Your secretary of state’s website is a good place to search for evidence of staff running outside business activities

All significant outside business or charitable activities must be approved by your manager and by the Chief Compliance Officer

"One of my priorities as Chairman is to reform the SEC’s disclosure rules with two goals in mind. First, the SEC must root its disclosure ...

Survey shows a vast majority of Americans support an e-delivery default

The case supplies a glimpse of how to approach disclosure around revenue sharing and conflicts, no doubt refined after this drawn-out civil lawsuit

Firm failed to disclose that it had a disciplinary history and omitted required "conversation starters" regarding fees and costs and conflicts of interest

'If Congress wished for the SEC to issue speech restrictions, it would have done so clearly'

Here are the seven elements that must be included in breach notices under revised Reg S-P

The SEC and Congress are considering changing laws to allow for the delivery of financial documents electronically as the default delivery method

So far so good except the firm erred in what it disclosed about the program