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In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...
'Compliance and marketing teams are in a challenging spot...'
Businessman point to the laptop looking graph of the company financial statements in the computer screen and together analysis the work room.
The idea of charging user fees to pay for SEC RIA exams resurfaces
Examiners plan to focus on new or never before examined registrants offering crypto or crypto-related assets
Just when you thought it was safe to go back to the office
Giants say they're cooperating
Returns don't include disgorgements
Firms paused fund raising for years over single trades
FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO
Proposed reforms buy time for hard-pressed sector

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