Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Senators cited concerns about whistleblower awards and Regulation Best Interest during the SEC Chairman's testimony before the Senate Banking, Housing and Urban Affairs Committee.
Asset managers will soon have free rein to create leveraged and inverse exchange-traded funds under a recent proposal from the SEC that ends a 10-year moratorium on new issuers.
Massachusetts Secretary of the Commonwealth William Galvin originally sought public comments on a proposed fiduciary standard in June as a response to the SEC’s passage of Regulation Best Interest.
The SEC will likely unveil a plan in the coming weeks for updating the accredited investor standard, a bedrock that lays out the criteria for investing in riskier -- and potentially more lucrative -- private funds, said two people familiar with...
Commissioners Jackson and Lee are at it again, urging commenters to help the agency strengthen a new proposal on the use of leveraged and inverse funds.
