The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]

What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]

What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government […]

The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]

What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]

Last week the SEC announced that it had settled charges against five more registered investment […]

What: The SEC announced that it settled charges against two investment advisers for making false […]

As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]