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SEC Updates Customer Data Hacking Rules for Wall Street
Insurance Journal· 2 hours ago“Over the last 24 years, the nature, scale, and impact of data breaches has transformed...
Go Ahead and Take a CIP: SEC and Treasury Department Propose New Regulations for Investment Advisors
The National Law Review· 2 days ago...Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism...
SEC.gov | SEC Staff Publishes New Investment Adviser Statistics Report
U.S. Securities and Exchange Commission· 2 days agoThe new report, which will be updated on an annual basis, is designed to give the public a view into the investment advisory industry, with insights into ...
NexPoint Capital, Inc. Announces Tender Offer for Common Stock
WDTN-TV 2 Dayton· 3 hours agoNexPoint Capital, Inc. (the "Company"), a non-traded publicly registered business development company sponsored and managed by NexPoint Advisors, L.P., ...
Customer Identification Program Requirements for Investment Advisers | JD Supra
JD Supra· 1 day agoThe CIP...
SEC Says RIAs and Brokers Who Suffer Data Breaches Will Have to Tell Their Clients
Barrons.com· 21 hours agoInvestment advisors, broker-dealers, and fund companies will have to start preparing to comply with...
SEC Issues Third Marketing Rule Risk Alert for Investment Advisers | JD Supra
JD Supra· 3 days agoOn April 17, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (EXAMS) issued its third risk alert on the amended Rule 206(4)-1 (the Marketing Rule ...
SEC amends Reg S-P to require data breach notification within 30 days
Compliance Week· 1 day agoThe amendments widen obligations for broker-dealers, funding portals, registered investment...
SEC Settles Enforcement Proceedings Against Adviser Regarding Alleged “Pay-to-Play” Political...
JD Supra· 4 days agoOn April 15, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for ...
SEC Fines Financial Advisor for Undisclosed Conflicts Related to Film-Production Company
Barrons.com· 19 hours agoThe Securities and Exchange Commission alleges that Hudson Valley Wealth Management and its founder...