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SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 5 days agoThe proposed rule follows a FinCEN proposal issued earlier this year that would expressly include RIAs and ERAs in the definition of a “financial
Request for Comments on FinCEN and SEC rule on CIP | JD Supra
JD Supra· 3 days agoThe Securities and Exchange Commission (“SEC”) and the Financial Crimes Enforcement Network (“FinCEN”) of the Department of Treasury issued a joint notice of proposed rulemaking (the “CIP Proposed ...
An In-Depth Analysis of the CFPB's Proposed Overdraft Rule — Payments Pros – The Payments Law...
JD Supra· 5 days agoIn this episode of Payments Pros, Josh McBeain and Chris Willis discuss the Consumer Financial Protection Bureau's (CFPB) proposed rule on overdraft fees. The rule, which only applies to large ...
The Third Attempt: Banking Agencies Revive Incentive-Based Compensation Rules for Financial ...
JD Supra· 7 days agoAmong other things, the Proposed Rule would subject certain compensation to recovery for at least seven years after vesting if a “senior executive officer” or “significant risk-taker...
FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs | JD Supra
JD Supra· 6 days agoOn May 13, 2024, FinCEN and the SEC jointly proposed a new rule that would require SEC-registered investment advisers and exempt reporting advisers to maintain written customer identification ...
SEC and FinCEN Propose Customer Identification Obligations for Investment Advisers | JD Supra
JD Supra· 6 days agoOn May 13, the Securities and Exchange Commission (SEC) and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released a joint notice of a proposed rulemaking ...
SEC Adopts Significant Cybersecurity Amendments to Regulation S-P | JD Supra
JD Supra· 4 days agoCommission (SEC) adopted final amendments to Regulation S-P, one year after issuing the proposed amendments (discussed here). Regulation S-P is a set of privacy rules that govern how certain ...
Is Zionism patriotism or racism? Big disagreements over a word in use for 125 years
LA Times via Yahoo News· 5 days agoIt was a fake document that purported to prove that Jews were a cabal sneakily trying to control the...
Savings interest rates today: Enjoy sunnier savings into the long weekend at rates that top 5% APY —...
AOL· 3 days agoWhile you can find a wide range of savings accounts at your neighborhood bank, credit unions and...
The New Fiduciary Rule (33): The DOL’s Final PTE 84-24 | JD Supra
JD Supra· 7 days agoAs a result, beginning on September 23, one-time recommendations to retirement investors can be fiduciary advice and, where the advice is conflicted, the investment professional and