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Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.
March 9 -
"If rules are too broad or vague, we may end up circumscribing conduct that we never intended to capture,” Commissioner Allison Herren Lee said.
March 6 -
In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.
March 4 -
A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.
March 2 -
The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.
February 21 -
The SEC examined approximately 2,180 RIAs in 2019.
January 16 -
Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.
December 19 -
"I don't mean to ruin your holidays, but ... " Regulators and industry insiders caution against delaying compliance efforts as the June deadline approaches.
December 18 -
One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.
December 16Cipperman Compliance Services -
The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.
December 16