Disclosure

The DOL will begin enforcing the exemption Dec. 20th and having such documentation goes a long way to prove you’re in compliance

Association says standards would impose unnecessary burdens on investment managers, are of questionable benefit to investors, and create confusion

Shkreli might've profited by listening to Wu-Tang's lyrics

Agency official sees Oct. 21 for NPRM, full vote by April.

The world is adapting to mitigate climate change, but the politicization of climate science, slow-moving bureaucracy and anachronistic policy are causing the US to lag ...

Commissioner warns colleagues they're reaching for something that isn't there

"we can work with investment advisers using ESG strategies and products to ensure that investors understand what that adviser’s brand of ESG means in theory ...

Firms, execs misled on tech, hid founder's national security "threat," Commission claims

The SEC also discovered TIAA training materials that discouraged staff from discussing fees in direct contradiction to the firm’s compliance P&Ps

Other lessons this case presents for you include (a) that inadequate disclosure will makes its way to enforcement if there’s a sweep account available that ...