Court Rules There’s No 180-Day Limit on SEC Investigations
An appellate court has agreed with the SEC’s self-serving interpretation that Dodd-Frank's 180-day Wells notice limit was not an enforceable limit at all.
6 Steps to Complying With SEC Email Regulations
Hiring a vendor to capture and archive emails within your advisory firm is the beginning, not the end, of complying with SEC rules and regs.
DC Update on SEC User Fees, an SRO and Third-Party Exams
It will be difficult to enact any legislation in this Congress, but I predict that the RIA user fee bill will gain co-sponsors, including Republicans.