SEC Chairman Gary Gensler has said TCRs are essential to the Commission's "work as a cop on the beat"
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations
This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...
JPMS regularly asked certain advisory clients and brokerage customers to sign a confidential release agreement that impeded the clients from disclosing potential violations of the ...
"The SEC takes its cybersecurity obligations seriously. Commission staff are still assessing the impacts of this incident .... The staff also will continue to assess ...
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...
Hundreds comment on new DOL fiduciary duty proposal, the SEC answers some Form CRS questions, new report from FINRA and much more
Time will reveal if the Labor Department proves successful in finalizing its latest fiduciary duty proposal, but if some industry comments hold the day, the ...
The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...
Today's "Commission action is cabined to ETPs holding one non-security commodity, bitcoin. It should in no way signal the Commission’s willingness to approve listing standards ...