The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...
Off-the-shelf compliance leads to cascading errors, regulators claim
The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms
Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”
In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...
Eliminating sensitive computer data can be as stubborn as a tempestuous two-year-old. But failing to do so, can come with a high cost
The current Reg S-P requires firms to alert customers how they will use their information. The SEC proposed amending Reg S-P in 2008 but it ...
If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...
While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...
RCW sampled early reactions to the proposal