Newsletter

A recap of arguments in case that challenges the SEC's new private fund rules, a new SEC rule could mean you'll have to register as ...

Compliance suggestions tied to gifts and entertainment, who has to file under new FinCEN rules, why you must be straight in answering client questions and ...

SEC commissioners vote 3-2 to pass their first new rule of '24, high stakes at the High Court, more friction over the SEC's private funds ...

Valuation suggestions, a costly whistleblower-related case, a big pending decision and much more

Hundreds comment on new DOL fiduciary duty proposal, the SEC answers some Form CRS questions, new report from FINRA and much more

A peek at the year ahead, compliance resolutions from your peers, SEC responds to PF rule lawsuit and much more

The SEC adopts new central clearing rules for U.S. treasuries, why books and records are fundamental to firm compliance, why private fund CFOs 'can't escape' ...

An RCW exclusive shares the SEC's latest exam letter aimed at how advisers are complying with the new IA ad rule, peek at the Commission's ...

The nation's High Court again considers a case that targets the SEC, how the IAA did last year, tips to document an accredited investor and ...

Yet another new final rule from the SEC, tips to prepare for a cyber breach, the FBI wants your help and much more