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Here's what advisors need to know as the agency continues remote exams.
April 9 -
Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.
April 9 - Charity, free advisor services and more: How the industry is stepping up in the coronavirus outbreak
Organizations and firms are donating N95 masks, providing resources at no cost and taking steps to protect employees and practices nationwide from the spreading pandemic.
April 7 -
FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.
April 7 -
Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.
March 31 -
Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.
March 17 -
Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.
March 12 -
The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.
March 10 -
Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.
March 9 -
Undisclosed payments from alt managers should have been explained to clients in Form ADV, the regulator says.
February 20