SEC: Rulemaking

"The proposed rule is designed to make it more difficult to use false identities to establish customer relationships with investment advisers"

This is the joint SEC/FinCEN proposal that would require SEC RIAs to maintain a CIP or customer identification program

This final rule modernizes the internet advisers' rules to account for the evolution in technology and the investment advisory industry since the initial adoption of ...

The final rule states that human-directed 'client-specific investment advice, even if delivered through electronic means, would not be eligible activity under the Internet Adviser Exemption'

A lot has changed since 2003, especially with technology and the internet, so SEC commissioners have approved a new final rule revising its two decades-old ...

"I was pleased to support these amendments because they modernize a 22-year-old rule to better protect investors in a digital age"

The Q&A left Gensler with no doubt where the advisers stand on all those new SEC rules

The new rule 'will allow investment advisers and funds to have access to climate information from companies that will be necessary to inform related ESG ...

"Given our clear authority, rolling back the proposal is a missed opportunity. It remains my great hope that a future Commission will rise to the ...

"Over-reaching assertions of government jurisdiction is a problem for all market participants. When contemplating the administrative state, persons should be concerned if there is no ...