The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...
Merrill further enhanced its wrap fee program disclosure documents, disclosing specifically that the wrap program fee does not cover Foreign Currency Exchanges and providing a ...
The Rebalancing Trades were executed at prices proposed by Anthony Melchiorre and agreed to by the Rebalancing Brokers, but not at prices that were independently ...
The "staff, pursuant to the exemptive orders, requests that, in digital advertisements, non-transparent ETFs use either the text and formatting of the Risk Legend as ...
This 2023 risk alert looks at issues that have popped up in exams of new RIAs
You now have until May 22 to share your comments with the SEC
A host of compliance slip-ups and CCO changes feed into this enforcement action
Federal Register version. You have until May 8, 2023 to comment
Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...