News, Comment & Analysis results for Securities and Exchange Commission

Legal
October 19, 2020

Finding Your Fortune - SEC's Proposal To Allow Non-Registered Finders

A legal expert examines the SEC's proposal to carve out an exemption from broker registration

People Moves
October 19, 2020

Summary Of North America Moves In Wealth Management - August 2020

A round-up of executive moves in the North American wealth management market during August.

Compliance
October 13, 2020

Compliance Corner: SEC, Broker-Dealer Exemption

The article examines the US regulator’s proposal to carve out an exemption for broker

Compliance
September 28, 2020

Compliance Corner: SEC

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

Alt Investments
September 28, 2020

Don't Expect SEC To Open Alternative Investment Floodgates

The SEC recently tweaked "Accredited Investor" rules. The hope among some wealth managers might be

Compliance
September 24, 2020

Compliance Corner: SEC

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

New Products
September 17, 2020

Wealth Manager Launches Behavioral Investing Institute

The launch is designed to build understanding of this field among wealth advisors and highlights

Legal
September 14, 2020

The New-Look Accredited Investor Rule: A Detailed View

Here is a detailed breakdown of the new SEC "accredited investor" rule adjustments, which have the

Compliance
August 31, 2020

Baird Welcomes SEC's Accredited Investor Move

A major wealth management house has weighed in about the SEC's move last week to adopt changes to

Compliance
August 27, 2020

Compliance Corner: SEC, FINRA

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

Comment & Analysis results for Securities and Exchange Commission