Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
Envestnet, CSS Partner to Help Advisors Meet Reg BI’s Form CRS Requirement
Form CRS compliance is one of the bigger headaches facing advisors as the SEC’s Regulation Best Interest compliance…
SEC Issues Temporary Coronavirus Relief for Advisors
The Securities and Exchange Commission will hold off on certain enforcement actions against registered investment advisors who can’t…
SEC Looks to Loosen Advisor Advertising, Solicitation Rules
In early November 2019, the Securities and Exchange Commission (SEC) released proposed amendments to the advertising rule and…
SEC Names ‘Chief Data Officer’ to Assist in Enforcement
The Securities and Exchange Commission today announced Austin Gerig as its Chief Data Officer, a new leadership position…
Barney Frank, Chris Dodd File Opposition to SEC’s Reg BI
Powerful interests and actors are lining up against the SEC’s Regulation Best Interest, which requires broker-dealers and their…
Former NFL Player and Merrill Rep Gets 40 Years in Retirement Fraud
A former high school and college football star who played for the NFL’s Philadelphia Eagles was sentenced in…
RIAs Top-of-Mind in SEC’s Just-Released 2020 Exam Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities,…
SEC Charges Radio Show Advisor with Defrauding Retirees
Important question—will the passage of the SECURE Act make stories like these more or less prevalent? The Securities…
Top SEC Compliance Issues with Target-Date Funds
The SEC recently took a closer look at certain target-date funds, and while it liked what they saw…
Baggage Handler Fined For Illegally Advising on $172 Million of AUM
The SEC has fined and suspended a baggage handler at a major airline who provided unauthorized investment services…