SEC Cracks Down on RIA, BD Compliance Officers--Compliance Watch
Two recent SEC cases signal, says a former examiner, that CCOs and their firms are unaware of their vulnerability and liability.
Carlo DiFlorio, the new head of the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), told attendees at the Insured Retirement...
Variable Products Move Onto SEC's Radar
SEC, FINRA to release updated report on effective VA practices