BROWSE BY TOPIC
Stories of Interest
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
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NEWSLETTERS & ALERTS
SEC Opens Registration for RIA/RIC Compliance Outreach Programs
The SEC has opened registration for its compliance outreach program seminars for investment companies and investment advisers. The seminars will be offered in 4 cities and are geared for CCOs and other senior personnel. The programs are jointly sponsored by SEC’s OCIE, Investment Management Division, and Enforcement’s Asset Management Unit.
Here’s the 2017 schedule for these half-day seminars, along with their agenda topics:
- Portland, OR (5/17): Key exam program initiatives, exam procedures and selection process, and recent trends and issues in the Enforcement Division’s Asset Management Unit.
- New York, NY (6/7): Staff exams and observations, and topics of interest to advisers to private funds.
- Boston, MA (6/13): Key exam program initiatives, typical exam process, and topics of interest to advisers to private funds.
- Chicago, IL (6/13): Key exam program initiatives, exam procedures and selection process, common exam deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast.
[Click below link to register; direct questions to: ComplianceOutreach@sec.gov.]