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SEC Releases New Source of Guidance for Marketing Rule

US Securities and Exchange Commission SEC releases two new sources of guidance for Marketing Rule to include gross and net rates of return in marketing materials ....

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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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