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'We are here to protect investors, and if they care, then we care,' Grewal says in Ohio State Law Journal speech
A man's hand uses a fountain pen to put make notes and amend figures on a spreadsheet. A calculator stands close by.
This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
'We want this to be something where the industry can... come up with solutions...'
Male member of human resource team whispering to his colleague during a job interview in the office. The view is through glass.
The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...
Woman with the magnifying glass
In 1992, Bodner pleaded guilty in federal court to misdemeanor fraud in connection with his use of an impersonator to take his Series 7 exam ...
Lawyer's hand concept Justice with Judge gavel, Businessman in suit or Hiring lawyers in the digital system. Legal law, prosecution, legal adviser, lawsuit, detective, investigation,legal consultant.
Heed these lessons: If a client questions you on returns, do the math. Be straight with them. And backup your data
When do omissions become misleading?
red ring binder standing out from a row of files
'I would want to know what my gaps are by the end of the first quarter next year,' expert says
Igor Rozenblit
'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'
Six more trade groups have joined the battle against the SEC’s sweeping new private funds rules, filing five separate amicus briefs urging federal appellate judges ...
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