SEC: Regulators

Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you.   1. Foreign affiliates that fall ...

If the new guidance from the SEC’s Division of Investment Management on what constitutes custody deprives the industry of an outright victory, it at least ...

the Staff believes that, depending on their business models and operations, robo-advisers should keep in mind certain unique considerations as they seek to meet their ...

The SEC’s Director of the Office of Compliance Inspections and Examinations Marc Wyatt will be leaving the agency next month. Wyatt, whose tenure has been ...

To give the agency more time to sift through comments about its security-based swap data repository registration rules, the SEC has extended the industry’s compliance ...

The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including ...

You’ve been put on notice: The SEC will soon hike to $2.1 million the net worth test defining a “qualified client.” This is important should ...

The consolidated audit trail will greatly strengthen our ongoing efforts – through regulation, examination, and enforcement – to ensure that the U.S. equity markets remain ...

It is important because if the various reporting entities have clocks that are up to 50 milliseconds off, it means that the time stamp on ...

Then-Chairman Schapiro described the CAT as a “great leap forward.”[1] She was, and is, absolutely right. But our “great leap forward” is not ...