Tips include to take a sampling of senior clients and check to see if reps are putting notes in your CRM to document their most ...
RCW sampled early reactions to the proposal
The idea of charging user fees to pay for SEC RIA exams resurfaces
It “is unlikely that the firm principals will ever be repaid for these funds,” the government wrote
Suspension of principal and investor notification of the suspension of redemption requests and capital withdrawals were an initial sign of trouble
Examiners plan to focus on new or never before examined registrants offering crypto or crypto-related assets
“I think it’s going to be a nightmare. I think that’s the best way to put it,” says one CCO
If the SEC bothers to put out an exam alert for a regulation that’s a decade old, you know it’s looking to make a statement
The effect of the decision doesn’t vacate the rollover exemption but could well confuse advisers as to how to comply with it
Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"