On April 2, the SEC announced new guidance on the use of…
Read MoreSEC Approves New Identity Theft Rules
Mary Jo White was sworn in on April 10 and her first…
Read MoreSEC Issues Social Media Guidelines For Investment Companies
The SEC had social media buzzing again. In March, the agency issued…
Read MoreState Securities Regulators Target Advisers in Legislative Agenda
The North American Securities Administrators Association (NASAA) recently announced it legislative priorities…
Read MoreProposed FINRA Rule Would Make Broker Misdeeds More Public
Complaints about brokers, including allegations of minor misconduct, could soon be widely…
Read MoreState Regulator Wants Criminal Background Checks for Advisers
When registering with state securities regulators, advisers are generally asked to disclose…
Read MoreFINRA Annual Conference to Address Compliance Concerns
FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C.…
Read MoreInvestment Adviser Custody Rule Causing Headaches for Advisers
The SEC is warning advisers that it is increasingly finding violations of…
Read MoreSEC “Sweeps” to Target Distribution Fees and Alternative Funds
Less than one month after announcing its enforcement priorities, the SEC is…
Read MoreMary Jo White Commits to “Unrelenting Enforcement”
Mary Jo White’s roots as a federal prosecutor were evident in her…
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