News, Comment & Analysis results for Securities and Exchange Commission

People Moves
January 4, 2021

Summary Of North America Moves In Wealth Management - November 2020

The latest senior moves in North American wealth management.

Compliance
December 18, 2020

SEC, Massachusetts Turn Fire On Robinhood

Robinhood, a trading platform that said it did not charge commissions, agreed to pay $65 million to

People Moves
December 10, 2020

Summary Of North America Moves In Wealth Management - October 2020

October was a brisk month for North American moves and hires, with standout changes at iCapital,

Compliance
December 7, 2020

Compliance Corner: SEC

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

New Products
December 1, 2020

What's New In Investments, Funds? - Guggenheim Partners

The latest offerings in investments, such as funds, structured products, specific programs and

People Moves
November 17, 2020

SEC Chairman To Depart

The top man at the US regulator, whose tenure has coincided with a number of challenges and changes

Compliance
November 16, 2020

Compliance Corner: SEC, Wells Fargo, Others

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
November 13, 2020

Let Fundraising Begin: SEC Harmonizes Private Offering Regime

Regulations over how private investments can be offered into the market have been adjusted by the

Compliance
November 6, 2020

Compliance Corner: SEC

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
November 4, 2020

Compliance Corner: SEC

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Comment & Analysis results for Securities and Exchange Commission