There’s plenty of talk that the SEC will revisit the accredited investor thresholds but no action yet. You still have flexibility in how you verify ...
Like many of us, the Investment Adviser Association enjoyed a reversal from the pangs of the pandemic. According to the IAA’s latest IRS Form 990—obtained ...
It may have taken 13 years, but the SEC has finally approved a rule Congress ordered it to promulgate in the 2010 Dodd-Frank law: prohibiting ...
Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it
This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities
Here’s a tip. Ask your accounting department for a list of vendors your firm pays and double-check to ensure they’re really your vendors
Broker-dealers could optionally leverage catalog to administer education and training for their continuing education firm element programs
'Whenever you see the SEC taking action across rulemaking, exams and enforcement... it should be seen as a clear signal that this is a big ...
Do you feel lucky? When you play Blackjack, do you request a card when holding 12? Or when shooting dice, are you more likely to ...
If your firm sells insurance products, you could be feeling lately like you’re being hit by a one-two regulatory punch given the Labor Department’s recent ...