The amendments would require certain broker-dealers to compute their customer and broker-dealer deposit requirement daily rather than weekly
Gensler: 'I’m voting for fewer federal bailouts...'
While larger firms tend to give best ex reviews to committees, too many smaller firms make the mistake of lacking any best ex reviews
We carefully share with you lessons learned from a legal action that befell an East Coast advisory firm
Six years of 'no-action' relief around soft dollars research quietly end
Grewal strongly cautioned that Enforcement has "zero tolerance for gamesmanship around the disclosure decision"
This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...
The committee took a similar step 10 years ago but the Commission failed to take it up
The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year
Form ADV data and industry snapshot reveal that nearly 40% of advisers include performance information in their ads