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FINRA s 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need To Know - Financial Services

FINRA s 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need To Know - Financial Services
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Financial industry regulatory authorityExchange commissionDivision of examinationsRisk monitoring programRegulatory oversight reportTakeaways relatedRetail salesBest interestCare obligationStaff bulletinInvestment advisers care obligations

Eight Noteworthy Investment Adviser Enforcement Actions From the First Half of 2023 | Patterson Belknap Webb & Tyler LLP

Presented below is a highlight of eight noteworthy enforcement actions the Securities and Exchange Commission has taken against investment advisers through the second quarter of 2023..

United kingdom generalUnited kingdomUnited statesNorth carolinaScott treaseMerrill lynchWilliam sadleirRandy robertsonDouglasg schmitzAnthony melchiorrePatterson belknap webb tylerMatter of bettermentHedge asset managementHuntleigh securities corpFund valuationMatter of huntleigh advisors inc

SEC Staff Issues Bulletin on the Care Obligations of Advisers and Broker-Dealers to Retail Investors | Proskauer Rose LLP

On April 20, 2023, the staff of the Securities and Exchange Commission (the “SEC”) published an FAQ‑style bulletin[1] that provides guidance on the care obligations of broker‑dealers.

Exchange act release noExchange commissionProskauer roseCare obligationRegulation best interestInvestment advisers actRetail investorReasonably availableSpecial considerationsInvestment advisers care obligationsStaff bulletinInvestment adviserscareDealer standardExchange act releaseInterpretation regarding standardInvestment advisers