Please enjoy this free trial of our subscription content service, for a limited time only.
Several registered investment advisers have received examination letters related to T+1 settlement compliance.
The new group seeks to spearhead interagency coordination in tackling growing fraud.
The SEC’s 2024 agenda, released July 8, showcases the agency’s plans.
A US appeals court threw out the SEC’s private funds rule, handing a victory to the ever-expanding, nearly $27 trillion industry.
Amendments to Reg S-P will modernize the rules that govern the treatment of consumers’ nonpublic personal information.
The new rule will require investment advisers to implement procedures to verify the identity of customers and maintain records supporting verification.
Changes address reality of investment advisers providing advisory services exclusively online.
The final rule will affect publicly-traded companies with business in the US – from retail and tech giants to oil and gas behemoths.