Some advisers might celebrate the prospect that the often confusing and confounding custody rule would disappear. But you might not be so happy with what ...
(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b–3), you ...
The DOE also vows at least a modest return to pre-pandemic days. “We also expect to increase our on-site interactions with regulated entities while continuing ...
Industry groups warn Gensler on overreach
This is the DOE's 2023 exam priorities
Mutual fund boards must monitor these arrangements in consultation with their investment adviser and legal counsel
Lessons from a real-world cyber event, plus guidance to help protect your firm
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
SEC's Division of Examinations intends to incorporate performance with Reg BI into retail-focused exams of broker-dealers
The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...