BROWSE BY TOPIC
Stories of Interest
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
- Reflections of an Economist Commissioner (SEC's Piwowar)
- Billionaire HF Manager and The Fed Chair Runner-Up are Investing in New Cryptocurrency
- Court Finds 2 Brokers Liable for Fraud Involving Mortgage-Backed Securities
- One FINRA: An Organization’s Commitment to Diversity and Inclusion
- 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
- Barclays Eyes Move Into Cryptocurrency Trading
- Goldman Breaks From Wall Street Pack with Bond-Trading Boom
- Janney Montgomery Scott CEO Joins FINRA Board of Governors
- SEC Encourages Investors to Do Background Checks on Investor.gov
- The Martin Act: Wall Street Titan Takes Aim at Law That Tripped Him Up
- Bank of America’s Cost-Cutting Drive Pushes Profit to Record
- Larry Fink: Wall Street’s $6 Trillion Man Finally Worth $1Bn
- Activist Investor Wants Barclays Investment Banking Overhaul (Video)
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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.]