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 ...
Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...
A 7-year-old case against a CCO may be over, charging expenses to private funds, questions about how recent SCOTUS decisions will impact SEC enforcement and ...
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
Here is a sample DOE document request letter submitted by a compliance consultant
Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...
This short request letter went to a firm in Florida
Check out this SEC document request letter