Former CFTC Director Gary Gensler will lead the team charged with examining the SEC, Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation, the Federal Reserve and the National Credit Union Administration.
The analysis from the SEC's Office of Compliance Inspections and Examinations said home offices needed to ensure that policies were communicated and implemented across all branches.
It looks like the firm is preparing to go 'all in' on the RIA custody business.
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The SEC claimed that Hughe Duwayne Graham, Donald Lee Howard and Larry Louis Matyas collectively made more than $920,000 in commissions for soliciting investors about purchasing stock in U.S. Lighting Group.
Speaking at the custodians' conference, the panel said a divided Congress would likely mean a diminished COVID-19 stimulus as well as a more difficult road for President-elect Joe Biden's tax policies.
An RBC advisor weighs in on how serving her country helped prepare her to best serve her clients.
