The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreCrowdfunding, the SEC and The New Rules—What Finally Came Down Today
The wait and speculation is over for now. Today the SEC proposed…
Read MoreProposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban
SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
Read MoreCongress Could Nix Mandatory Arbitration With Investors Choice Act
In light of the absence of SEC action on topic, Rep. Keith…
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