Tag: investment advisers

The exam priorities of the SEC’s Office of Inspections and Compliance or OCIE, announced on January 7, 2020, are a key priority for every investment advisor and investment company. Those priorities are key not just for those who may be …

SEC Investment Adviser and Investment Company Exam Priorities Read More »

Tagged with: , ,

Regulation Best Interest, the long studied and discussed Commission rule that addressed the standards governing broker-dealers when making an investment recommendation was challenged by in a suit filed by seven states and the District of Columbia. State of New York …

Suit by States Challenges SEC Regulation Best Interest Read More »

Tagged with: , , ,