SEC Staff Study on Investor Access to Registration Information About Investment Advisers and Broker-Dealers
SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard
GAO Report: Regulation of Financial Planners is Adequate
SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
Thus, the staff believes that the SEC likely will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisers with adequate frequency.
Continue Reading SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
FSOC Issues Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies
SEC Extends Temporary Rule Regarding Principal Trades with Certain Advisory Clients
First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims
SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency
