The Commission's new rulemaking agenda details nearly 60 items in the proposed or final rule stage
The proposed rule aimed at the oversight of third-party service providers now has a timetable for final action of April 2024
Some see a fine-line that could distinguish an educational piece from an advertisement
RCW has obtained a new SEC exam document request letter. While the scope of the exam looked at topics well beyond the ad rule, it’s ...
The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...
You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...
This is the DOE's second risk alert tied to the new IA ad rule
Right size, wrong shape, Republican Commissioners say
Later this month, the SEC’s Investor Advisory Committee is scheduled to take up draft recommendations designed to ensure that more investment advisers are examined
Some people deserve special attention. Members of one group worthy of yours are “value added investors”