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JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 4 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 7 days agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would ...
SEC and FinCEN Propose Customer Identification Program Requirements for Certain Investment Advisers...
JD Supra· 5 days agoI. INTRODUCTION - On May 13, 2024, the US Securities and Exchange Commission (“SEC”) and the US Department of the Treasury’s Financial...
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 7 days agoQuick Take: On May 13, 2024, the SEC and the Treasury Department’s Financial Crimes...Network (FinCEN) jointly proposed a new rule that would require certain investment ...
Learn More About Simon Anzaldua in Oklahoma City, OK.
US News & World Report· 4 hours agoSimon Anzaldua is a financial advisor in Oklahoma City, OK. Find a financial advisor who specializes...
CIG Capital Advisors Hosts Exclusive Thought Leadership Event
Digital Journal· 7 hours agoInvestment Advisory Services Available Through CIG Asset Management, Inc., a SEC Registered Investment< ...
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 6 days agoRule, and some lessons learned from SEC cases, including a case against an adviser for failing to retain texts and a new interpretation of the insider...
New Dynasty-Backed RIA Accuses Former Firm of Lack of Accountability, Body Shaming
WealthManagement.com· 3 hours agoLast week, Salomon & Ludwin, a Richmond, Va.-based registered investment advisor, filed suit against...
SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 5 days agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC ...
Calling All Entrepreneurs: How The Right Financial Advisor Can Integrate Your Personal And Business...
Forbes· 5 days agoThe best financial advisor for an entrepreneur like you is going to be much more than a stock...
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