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SEC, CFTC chiefs press lawmakers to approve budget requests

SEC, CFTC chiefs press lawmakers to approve budget requests
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'Why us?' SEC lists reasons it conducts examinations of broker-dealers | News Brief

A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.

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RIA Regulatory Review - June 2024 | Dorsey & Whitney LLP

This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers.

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United States - Advertising, Marketing & Branding - SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.

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Here comes T+1 | Cooley LLP

Here comes T+1 | Cooley LLP
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