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IAA ask SEC to amend its definition of small firms

IAA ask SEC to amend its definition of small firms
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Exchange-commission
Investment-adviser-association
Federal-regulatory-flexibility-act
Wall-street
Sound-investments
Regulatory-flexibility-act

SEC Hits Nine More Firms With SEC Ad Rule Violation Charges

The SEC charged nine firms with allegedly violating its marketing rule by using hypothetical performance metrics in advertisements.

Gurbirs-grewal
Investment-adviser-association
Enforcement-division
Linden-thomas-advisory-services
Exchange-commission
Division-director-gurbir
Thomas-advisory-services
Elm-partners-management
Helm-partners
Investment-adviser
New-york-based

Implications of the SEC rulemaking agenda

The SEC rulemaking agenda, with more than a dozen major rules proposed or finalized, has significant implications for advisors.

Investment-adviser-association
Investment-advisers-act

SEC requires advisors to document annual compliance reviews

SEC requires advisors to document annual compliance reviews
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Washington
United-states
Gary-gensler
Hester-peirce
Gail-bernstein
Adam-kanter
Mayer-brown
William-birdthistle
Exchange-commission
Public-company-accounting-oversight-board
Investment-adviser-association
Fundrise-advisors

SEC adopts rules to boost oversight of private-fund advisors

The SEC approved rules to increase the transparency and oversight of private funds, which could be costly for private-fund advisors.

Caroline-crenshaw
Gail-bernstein
Jaime-lizarraga
John-gebauer
Adam-kanter
Mayer-brown
Mark-uyeda
Gary-gensler
Hester-peirce
Sherrod-brown
Accenture
Senate-banking-committee

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