Finding A Way.

Social and Traditional Media “Buzzing” Over SEC’s New Guidance for Corporate Disclosures

On April 2, the SEC announced new guidance on the use of social media to disseminate corporate information, refreshingly acknowledging and embracing the brave new media world...

SEC Approves New Identity Theft Rules

Mary Jo White was sworn in on April 10 and her first official act as head of the SEC was to approve rules requiring brokers-dealers and investment...

SEC Issues Social Media Guidelines For Investment Companies

The SEC had social media buzzing again.  In March, the agency issued updated social media guidelines for investment companies use of sites like LinkedIn, Twitter, and Facebook....

State Securities Regulators Target Advisers in Legislative Agenda

The North American Securities Administrators Association (NASAA) recently announced it legislative priorities for the upcoming year. Not surprisingly, advisers are front and center. NASAA’s membership consists of...

Proposed FINRA Rule Would Make Broker Misdeeds More Public

Complaints about brokers, including allegations of minor misconduct, could soon be widely available to the public. The SEC recently published a proposed FINRA rule that would change...

State Regulator Wants Criminal Background Checks for Advisers

When registering with state securities regulators, advisers are generally asked to disclose certain criminal convictions in their past. However, this information is generally subject to the “honor...

FINRA Annual Conference to Address Compliance Concerns

FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C. The meeting gives the securities industry the opportunity to discuss regulatory developments, hear FINRA priorities...

Investment Adviser Custody Rule Causing Headaches for Advisers

The SEC is warning advisers that it is increasingly finding violations of the custody rule, which is designed to protect advisory clients from the misuse or misappropriation...

SEC “Sweeps” to Target Distribution Fees and Alternative Funds

Less than one month after announcing its enforcement priorities, the SEC is planning its first round of “sweeps.”  Speaking at an Investment Adviser Association conference on March...

Mary Jo White Commits to “Unrelenting Enforcement”

Mary Jo White’s roots as a federal prosecutor were evident in her prepared remarks in March before the Senate Banking Committee. If confirmed, she promised to create...

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