SEC enforcement chief Gurbir Grewal wants industry to see 'the real benefits of proactive cooperation'
It’s possible that the Missouri secretary of state’s office will appeal. In a statement, the office criticized the judge’s decision, calling it morally wrong
The industry shares its thoughts about AI with Treasury
RCW shares a new SEC exam sweep document request letter going to advisers
Steer clear of placing hypothetical performance ads on your public website
These changes are retroactive to last June
The new survey results offer meaningful insights into what firms are doing regarding marketing nearly two years after the IA marketing rule became effective
Check out what your peers clicked on last month
With all the new regulations emerging from Washington in recent years, you can’t blame some advisers for saying enough already
Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...