Bill Myers
'America’s markets are the greatest in the world because we have strong investor protection and because we have effective regulators at the SEC,' Ohio senator ...
An SEC marketing rule sweep nets nine firms, there's a new risk alert to help you prepare for exams, Republican Commissioner Mark Uyeda sees compliance ...
Notice puts industry on the clock
First compliance deadlines take effect 60 days from Sept. 14
'The clock is ticking'
Compliance may not be a check-the-box exercise anymore, but you've still got to check the boxes
Suit asks Fifth Circuit to vacate sweeping new rules
SEC can't mandate stand-alone compliance departments, but burdens of new rules may make it inevitable
The SEC launches an AI sweep, the argument over private funds' accelerated fees and indemnification isn't over, the multi-hatted CCO is an endangered species, Wells ...
By slipping 2019 fiduciary guidance in as dicta, Commission may signal a crackdown