Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to ...
Even as the 60-day window ticks down on The Robare Group’s opportunity to appeal the SEC’s adverse ruling in its disclosure case (IA Watch, Nov. ...
The long-awaited National Market System plan to create a Consolidated Audit Trail was approved Nov. 15 by a unanimous vote of the SEC’s commissioners. The ...
In the early hours of Wednesday, when overseas markets initially sank on the news that Donald Trump was the president-elect, the SEC reached out to ...
Here’s an appealing anti-money laundering compliance model for a small broker-dealer. Focus on a few high-level objectives. Position your compliance officer within earshot of your ...
Following an August proposal, the three CFTC commissioners Nov. 10 unanimously agreed to a final rule giving CCOs at futures commission merchants, swap dealers and ...