NEWS & GUIDANCE
The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a bit last week after a 3-2 Commission opinion found that two former investment advisory employees violated securities laws for their actions involving a su...
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The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to its newly released IRS-990 report, you can see it was a great year for employees, too. Reported salaries jumped 37% from the 2012 990 to $235 million (see the ...
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Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comply with requirements when acting in a principal capacity in certain transactions – seems to occur every two years (IA Watch, Jan. 7, 2013).   Last wee...
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Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.