Nearly 50 regulatory rules are being considered by the SEC
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
“It’s better to take a conservative position” and disclose that you’ll make more money in a rollover
A guide to help you comply with the custody rule
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
“There’ll be a lot more ads to approve” if the proposal is finalized
“Just start drafting. Start typing. The longer you wait to start the drafting process, the more challenging it’s going to be”
Some of his widowed victims came to him through an elder care placement center owned by his wife
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...