BROWSE BY TOPIC
Stories of Interest
- Goldman's Lloyd Blankfein Seems to be Making a Habit Out of Trolling Trump
- Goldman on Hunt for Star Traders to Revive Struggling Commodities Unit
- Yahoo Owes Millions for Busting NCAA Tourney Bracket Deal
- JPMorgan Joins 21st Century Fox in Fighting 'Deep Divisions Across Our Country'
- Please, God, Save Gary Cohn From Himself: The Case for Resigning
- Regulatory Considerations When Bringing on a New Advisor
- Why Deutsche Bank is at Mercy of Regulators
- U.S. Treasury Auction Class-Action – Federal Judge Causes Interminable Delay
- Mnuchin Rejects Calls to Resign and Defends Trump
- Best Time to Go to the U.S. (Tennis) Open Tourney - Before It Starts on August 28
- Stifel Prevails in Arbitration But Ex-Hilltop Employees Hit with Awards - Bill Singer
- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
- SEC Drops Case Against Ex-JPMorgan Traders Over 'London Whale'
- Financial Advisers That Invest in Technology Need to Accomplish These Two Things
- FINRA Amends Codes Regarding Expedited Arbitrator List Selection
- FINRA July 2017 Quarterly Disciplinary Review (Podcast)
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
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.]