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Last year our Division of Enforcement formed an internal Retail Strategy Task Force to bolster our capabilities and focus on protecting Main Street investors. [2] ...
The same week that the Supreme Court dealt a blow to the SEC’s ALJ system, lawyers filed a challenge over whether the agency has the ...
This spring’s release by the SEC of three fiduciary duty-related proposals (IA Watch, April 18, 2018) “encouraged” the agency’s investor advocate because the Commission was ...
As a financial planner with 40 years in the business, Ray Lucia believed he was on track for his own comfortable retirement as he hit ...
The official statement from the SEC following the Supreme Court’s Lucia decision is that the Commission is “reviewing the opinion” and “will determine appropriate next ...
Dodd-Frank gave the SEC supervision over security-based swaps and the CFTC over other swaps. Now the two agencies have agreed to work together to coordinate ...
By a 7-2 vote, the nation’s highest court June 21 sided with an investment adviser who had challenged the constitutionality of the SEC’s ALJ system
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out when ...
There are many familiar methods for communicating, monitoring and reinforcing cultural objectives — compliance programs, policies and procedures, training, personnel decisions (including evaluations and compensation), ...
With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmakers ...
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