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 […]

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]

What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]