Newsletter

A detailed look at the SEC's new AI rule proposal, DOE's latest risk alert, why SEC cases may never end and much more

SEC proposes AI-related rule for advisers and broker-dealers, stricter rules proposed for internet advisers, tips to stay out of trouble with your wrap fee programs ...

A deep dive into a new SEC final rule, a look at how you may want to approach use of AI, compliance lessons from a ...

SEC commissioners approve one final rule and a second proposed one, tips to deal with staff who use off-channel communications, CCOs doing more with less, ...

Why you should aim for cyber resilience, pitfalls and promises of AI, lessons from a CCO from a costly case and much more

New data sketches the current state of the IA industry, books and records' violation proves costly, movement on user fees for more IA exams and ...

The SEC sets an ambitious regulatory agenda, advocates push the Commission to think holistically about reform, regulators crack down on private funds' post-commitment fees, a ...

Separating ads from education, key definitions in new SEC exam letter, a pending regulatory deadline and much more

One new SEC final rule aims to help CCOs, why you need to track your value added investors, an SEC error leads to dozens of ...

More time to think about the SEC's safeguarding proposal changes few minds, why it's worth paying attention to U.S. sanctions, could SEC ALJs go away, ...