As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]
What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]
The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]
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What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]