The Commission guidance is a bid to bring greater transparency to the municipal advisor registration process
SEC rules also don’t prohibit you from doing one annual review for the entire entity but be sure you conduct separate testing for each RIA, ...
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
Association cautions slew of adviser proposals will "significantly overhaul the current regulatory regime" under the Advisers Act
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 deadline for the first annual respective review under the DOL's rollover exemption arrives in July
The SEC doesn’t dictate how you provide compliance training but supplying some degree of education to firm employees is unquestionably a best practice
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 ...