Robert Cook discusses the challenges facing the broker regulator, ranging from retooling its exam program for Reg BI to supporting small firms and increasing its transparency.
Michael Siva pleaded guilty to acting on nonpublic merger information.
Reporting rules make clear how agency expects income from crypto holdings to be reported on tax returns.
Michael Siva pleaded guilty to acting on nonpublic merger information.
Broker regulator guidance includes delineating how new standard differs from suitability.
The SEC, in an atypical move, appears to be investigating third-party administrators affiliated with entities such as broker-dealers and RIAs
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
401(k)-plan advisers are well-positioned to provide investment advice to participants, but it could prove legally treacherous.
Broker regulator guidance includes delineating how new standard differs from suitability.
The SEC, in an atypical move, appears to be investigating third-party administrators affiliated with entities such as broker-dealers and RIAs.
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
Former commissioner Dan Gallagher joins after the robo's checking accounts ran into regulatory issues last year
Many state-registered investment advisers think they are too small to be on criminals' radar.
Former commissioner Dan Gallagher joins after the robo's checking account problems ran into regulatory issues last year.
The SEC's regulation could give some firms a way to set themselves apart from the rest
The SEC's regulation could give some firms a way to set themselves apart from the rest
Firm says clients were not deceived by alleged conflicts over revenue-sharing
The SEC offers no evidence investors will benefit from Reg BI beyond vague, unsupported assertions
Firm says clients were not deceived by alleged conflicts over revenue-sharing
Board also votes for proposal about brokers acting as client beneficiaries.
