Investment adviser

Younger investors do research on social media and ask AI before they ask a person, says EveryOne Social’s Cameron Brain.

The SEC has proposed a framework addressing crypto custody, including circumstances involving conditional self-custody.

SEC3 Compliance is monitoring the SEC’s proposal to rescind Advisers Act Rule 206(4)-5, commonly known as the “pay-to-play” rule. If adopted, the proposal would eliminate the rule’s prescriptive political contribution restrictions and give investment advisers greater flexibility to address pay-to-play risks through their broader compliance programs.

The proposal would restore certain CPO and CTA exemptions that were in place until 2012.

The Australian Securities and Investments Commission’s latest actions and news, July 13-17, 2026.

After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.

Moscony lists questions every adviser should be able to answer today.

Identified problems included nondisclosure of advisers’ financial incentives and clients being charged for services they did not receive.