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SEC, FinCEN propose customer ID program for investment advisers

SEC, FinCEN propose customer ID program for investment advisers
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IAA Asks the SEC to Redefine 'Small Advisors'

The IAA is urging the SEC to change its "small business" definition to be based on employee headcount instead of assets under management.

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IAA Fears SEC's ESG Rules Could Lead to Client Confusion

While most advisor advocacy organizations support the intention of the rule, some want to see a "materiality" standard incorporated into the requirements.

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Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says

Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says
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