Eye-Watering Texting Fines Need Transparency: SEC Roundup
By Nick Morgan and Tom ZaccaroThe American Securities Association's CEO talks about why the group is suing the SEC.
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.
February 23, 2024
New SEC Dealer Rule Will Hit Private Funds: SEC RoundupAIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
December 19, 2023
How Charitable Works and Philanthropy Connect Alger to Its CommunityAlger CEO Dan Chung shows how giving back helps the financial industry and those communities that advisors serve and live in.
November 30, 2023
Marketing Rule Among 2024 Enforcement Priorities: SEC RoundupFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 21, 2023
iCapital Brings Alternative Investment Opportunities to AdvisorsCEO Lawrence Calcano shares how technology innovation and education may help advisors and their clients identify new opportunities in the alternative investment marketplace.