While many advisers would rather not see an SEC final rule on artificial intelligence, other governments are grappling with what regulations to put in place ...
SEC Division of Examinations sweep exam assessing how the T+1 settlement change is going
The agency admitted Enforcement staff were getting improper access to ALJ records
Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...
Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years
'We’re seeing more than just skepticism at both levels, it’s a general distaste for what is villainized—and sometimes mislabeled—as the private equity business model,' Holland ...
Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...
You don’t need to be a psychic to predict enforcement troubles would follow
Less than 2% of survey respondents permit the use of personal e-mail for business communications
Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...