The information collected on Form PF is important to financial regulators
NFC willfully violated Rule 204(b)-1 under the Advisers Act, which requires investment advisers registered or required to be registered under Section 203 of the Advisers ...
The statements in paragraphs 19 through 22 were materially misleading, given that Cantor personnel had already had substantive discussions on behalf of CFAC II with ...
"The Commission and self-regulatory organizations depend on the CAT to carry out our respective surveillance and enforcement responsibilities"
"When charging SPACs with disclosure violations, the Commission should be mindful of the unique nature of SPACs and how they differ from operating companies"
The RIAs are 'essentially caught between two regulators'
Next year brings a new president, but also some more Secure Act 2.0 changes that will affect retirement plans. Advisers should be aware of what’s ...
See how the major IA trade association made out last year
The latest on an international tussle between two regulators with IAs in the middle, see how the IAA fared last year, the prospects of retail ...