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Go Ahead and Take a CIP: SEC and Treasury Department Propose New Regulations for Investment Advisors
The National Law Review· 7 days ago...Enforcement Network (FinCEN) jointly proposed rulemaking to implement section 326 of the Uniting...
Interactive Brokers latest B-D to report data breach - InvestmentNews
InvestmentNews· 12 hours agoJust as the Securities and Exchange Commission is sharpening its focus on cybersecurity breaches at...
SEC amends requirements for brokers, advisers protecting customer data
Pensions & Investments· 5 days agoThe Securities and Exchange Commission is bolstering the requirements for broker-dealers, registered investment advisers, mutual funds ...
Ask an Advisor: Can a Single Financial Advising Firm Address All of My Financial Concerns?
SmartAsset via Yahoo Finance· 4 days agoCan one individual or organization cover my complete spectrum of financial concerns, including ...
FUNDamentals: Is the Joint FinCEN and SEC Proposal for Investment Adviser Customer Identification...
JD Supra· 5 days agoOn May 13, 2024, the U.S. Securities and Exchange Commission’s Division of Investment Management (“SEC”) and the U.S. Department of the Treasury’s...
Four Months Out: Private Fund Advisors Prepare for September Compliance Deadline Amidst Challenge in...
JD Supra· 5 days agoThe Rule increases the scope of information and disclosures that are universally available to private fund investors, but critics of these rules argue that they impose significant compliance ...
SEC Says RIAs and Brokers Who Suffer Data Breaches Will Have to Tell Their Clients
Barrons.com· 6 days agoInvestment advisors, broker-dealers, and fund companies will have to start preparing to comply with...
JD Supra: Cybersecurity Continues to be a Focal Point for Regulators in 2024
JD Supra· 4 days agoThe SEC’s new and proposed rules on cybersecurity and cyber-incident reporting will have a dual impact on private investment advisers and funds. First, the proposal by the ...
Financial institutions have 30 days to disclose breaches under new rules
Ars Technica· 4 days agoThe Securities and Exchange Commission (SEC) will require some financial institutions to disclose...
The Federal Trade Commission Ban on Non-Competes and its Impact on Transitioning Representatives and...
JD Supra· 2 days agoOn April 23, 2024, the Federal Trade Commission (FTC) issued its final rule banning non-compete provisions nationwide (the Rule). While the FTC contends that non-competes keep wages low, suppress ...