The SEC will welcome your comments on its latest regulatory agenda until Sept. 14
This agenda includes FinCEN proposals directed at investment advisers
Commission staff found Ameriprise Financial Services’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at investment advisers
The DOL tweaks its newly revised ERISA exemption 84-14 for qualified professional asset managers
This is the sweep document request letter sent to advisers in the summer of 2024
The rep recommended a $50,000 L Bond with a 5-year term to a retail customer: (1) who was a 63-year old semi-retiree; (2) who had ...
You have until Aug. 22 to share your comments on FinCEN's form for certain firms to report their beneficial owners
The SEC amends the form currently used by most variable annuity separate accounts, Form N–4, to require issuers of RILAs to register offerings on that ...
These IRS RMD rules become effective Sept. 17, 2024, and begin applying to distributions in 2025
This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...