Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.
SEC Marketing Rule
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
Lessons from the SEC’s first Marketing Rule case.
The model rule would harmonize state-level standards with the SEC’s Marketing Rule.
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
AI query data as well as popular communications channels such as WhatsApp increasingly monitored by firms.
Investment adviser failed to mention endorsements from high-profile sports stars were paid for.