The SEC has adopted amendments to Form ADV and the Advisers Act books and records rule in a bid to provide investors and the Commission itself with a better understanding of the risk profile of each adviser and the industry as a whole. The amendments will require investment advisers to provide addi...
Investment Adviser News & Guidance
The SEC’s enforcement activity sharply declined in the Commission’s fiscal third quarter, according to new analysis released from the financial consulting firm Cornerstone Research. The 33% decrease in the number of enforcement actions filed in the third quarter—only 160 actions compared to 238 fil...
Perhaps you want a mobile app to make trades while your toes wriggle in the sand at your favorite beach. Or you’re starting a new investment strategy and your current system can’t handle it. Or your existing vendor hasn’t updated its system for years. These are among the reasons you may be shoppin...
If there’s one solid takeaway from the recent RiverFront enforcement action it’s to be as clear as you can in describing your step-out trades within wrap fee programs. The SEC fined the Richmond, Va.-based RiverFront Investment Group ($5.5B in AUM) for Form ADV disclosures that didn’t keep up with...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
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Speeches from key industry regulators
- SEC Commissioner Piwowar objects that his colleagues ordered a bar that Enforcement didn't even ask for
- SEC Chair Mary Jo White talks issues before the Equity Market Structure Advisory Committee Meeting
- SEC Commissioner Michael Piwowar shares his views with the Equity Market Structure Advisory Committee
Full listing of live events and on‑demand webinars (for members).