SEC alert provides advisors with marketing rule guidance
Intense Life Desires Despite the Trump administration’s generally lighter approach to regulation, a recently issued “risk alert” shows...
SEC
SEC enforcement actions plummet under Atkins
When Paul Atkins returned to the SEC this year to serve as its chair, he...
AI Compliance: Applying Existing SEC Regulatory Frameworks To Fast-Moving Technologies
Given that the pace of technological change is often swift, regulatory bodies often struggle to...
FSI calls on SEC to end 'regulation by enforcement' as agency reopens
The Financial Services Institute is pressing the Securities and Exchange Commission to adopt formal procedures...
Why (Most) Advisors Shouldn’t Serve As Clients’ Trustees: Ethical Conflicts, Dual Fiduciary Duties, And The SEC Custody Rule
Financial advisors are used to having close and trusting relationships with their clients, given the...
Edward Jones signals new capital structure in SEC filing
Financial advisors at Edward Jones could soon see a major shift in the partnership’s capital...
How advisors are using AI without explicit SEC guidance
Advisors are often put off by new rules and regulations. But when it comes to...
What the government shutdown means for the SEC
If you’re already in investigators’ crosshairs because of a big Ponzi scheme, the current government...
SEC panel punts on changing accredited investor criteria
An SEC panel declined to endorse any changes to financial criteria often used to determine...
What advisors should know as SEC launches AI Task Force
The SEC’s recently launched AI Task Force will most likely make its investigations more efficient....