What to Expect From Atkins-Led SEC
Corporate compliance teams face a rapidly changing regulatory landscape as the SEC pivots toward more business-friendly policies. CCI contributing writer Jaclyn Jaeger maps the “sea ...
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News Reminder: SEC Approves FINRA Rules Change
Overview In an order dated July 30, 2021, the SEC approved the adoption of new FINRA Rule 4111 and Rule 9561 and the amendment of Rule 9559. FINRA has extended the effective date for the ...
SEC Offers Guidance on Form CRS
Overview As firms prepare their annual ADV updates or review their compliance programs, one area where advisers and brokers who provide services to retail clients should highlight is Form ...
News Update: SEC Approves FINRA Rules Change
In an order dated July 30, 2021, the SEC approved the adoption of new FINRA Rule 4111 and Rule 9561 and the amendment of Rule 9559. FINRA has extended the effective date for the proposed rule ...
SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser for pervasive and longstanding failures to maintain and preserve electronic communications. ...
SEC files to drop crypto promo case against YouTuber Ian Balina
The US Securities and Exchange Commission has filed to drop another of its crypto lawsuits, this time its unregistered securities sales case against crypto influencer and YouTuber Ian Balina. The ...
SEC Recordkeeping Enforcement Continues to Result in Large Penalties for Off-Channel Communications
The list of firms that have been charged in less than 12 months with recordkeeping failures for off-channel electronic communications continues to grow. Last month, the SEC charged HSBC ...
Regulatory News Update: SEC Announces Rule Proposal Targeting AI-Driven Conflicts of Interest
What: SEC voted in a split 3-2 decision on July 26th to release a proposal requiring the elimination or neutralization of conflicts related to conducting investor relations via artificial ...
Regulatory News Update: SEC Probes Investment Adviser Electronic Communications
September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen advisory firms and hedge funds have been subject to deep-dive probes of employee electronic ...
News Update: SEC Provides Road Map for Investment Advisory Firm Examinations
September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection ...
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