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SEC gov | SEC, NASAA, and Wisconsin DFI to host Investor Roundtable in Madison, Wisconsin on July 25

SEC gov | SEC, NASAA, and Wisconsin DFI to host Investor Roundtable in Madison, Wisconsin on July 25
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

United statesCristina martin firvidaAndrew hartnettMark uyedaLeslie van buskirkGary genslerAmerican securities administrators associationSecurities investor protection corporationIowa insurance divisionRetail strategy taskExchange commissionCanadian investor protection fundWisconsin department of financial institutionsHill farms state office buildingWisconsin department of financial institutions headquartersInvestor advisory committee

Investment advisor numbers escalate, ideas for stronger oversight remain stuck

As the number of advisors grows, should a third-party organization help the SEC increase its oversight and the number of exams?

United statesJanay rickwalderCien asoeraPaul royeLeslie van buskirkDavid tittsworthFinancial industry regulatory authority incHouse financial services committeeFund business management groupInvestor advisory committeeExchange commissionWisconsin division of securitiesInvestment adviser associationHouse financial servicesInvestment adviserVan buskirk

SEC committee eyes user fees for advisory firms

SEC committee eyes user fees for advisory 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.

United statesPaul royeEdward jonesCien asoeraLeslie van buskirkGail bernsteinHester peirceVan buskirkInvestment adviser associationManagement companyExchange commission investor advisory committeeAmerican securities administrators associationCapital researchInvestor advisory committeeExchange commissionWall street

SEC Advisory Group Backs Gensler s Crypto Efforts but Asks for Industry Guidance

Apart from the Investor Advisory Committee’s request for some formal crypto guidance from the agency, it egged on the SEC chairman’s confrontation with the sector.

United statesChristopher mirabileLeslie van buskirkGary genslerWisconsin department of financial institutionExchange commissionLaunchpad venture groupInvestor advisory committeeChair gary genslerChair christopher mirabileVice chair leslie van buskirkWisconsin departmentFinancial institution

SEC Investor Advisory Committee To Discuss Modifying Private Securities Exemptions, More

SEC Investor Advisory Committee To Discuss Modifying Private Securities Exemptions, More
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United statesNatasha greinerPaul royeKaren barrMicah hauptmanTyler gellaschSteven neil kaplanPeter mahoneyShelly antoniewiczStephen breyAlice stinebaughCien asoeraYiming maEdward jonesLeslie van buskirkRegistration regulatory affairs