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IM didn’t make any promises. It merely invites you via e-mail (imocc@sec.gov; subject line: Custody Rule and Digital Assets) to “let the Staff know your ...
If you would like to let the Staff know your views regarding these issues, we are providing an email box as a convenient method for ...
"One real risk looms even larger than the pandemic and could have even more grave human and economic costs than those we have witnessed these ...
Jay Clayton
"Like other stress tests, planned and unplanned, the test imposed by the effects of COVID-19 has provided lessons and insights to the Commission and to ...
Hester Peirce
"Fortunately, lots of smart people, many of whom are participating in today’s meeting, have been working for years to ensure that asset managers, broker-dealers, and ...
"Fiscal Year 2020 was another successful year for the Division of Enforcement, despite the unprecedented challenges posed by the global COVID-19 pandemic"
The new rules are a capstone on Chairman Jay Clayton's SEC career but they'll come over the objections of Democratic Commissioners and state regulators.
Common mistakes included disclosures clouded with dense words or the use of generic, boilerplate or marketing language and advisers referring to themselves as “fiduciaries”
The SEC and FINRA in effect issued a first quarter report card on how B-Ds and dual-registrants are doing in complying with the new regulation
The SEC’s proposed new advertising rule for advisers may well skate through even in a lame duck session because it’s about modernization

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