While the obvious "big challenge" the agency faces is implementing the scads of changes set out in the reform bill, the SEC is already busy setting up new offices at the securities regulator to police the market. The SEC announced on July 16 that the SEC will create three new specialized units within the agency's Division of Corporation Finance--the division that reviews public company filings--to focus on large financial institutions, asset-backed securities and other structured products, and securities offering trends.
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Millennials are the future of your practice; both as clients and employees. Understand how they think to capture them as clients, attract them as employees...
Hundreds of plan advisors are successfully gaining the attention of CFOs and securing appointments. Learn how with this short video.
Discover how charitable donations of complex assets such as real estate or privately held stock can help them give more to charity, save cash and...
Jun 20, 2017
Join this complimentary webcast to discover how the top three SMA Mangers of the Year beat their peers by consistently delivering alpha.
May 24, 2017
Join this complimentary webcast to listen in on a roundtable discussion on the current state of the industry, as well as receive tips and strategies...
May 11, 2017
Mega trends continue to impact the wealth management industry. Trends such as new digital competition, increasing compliance standards, fee pressures, and an aging advisor population....