On April 20, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) jointly issued proposed amendments ...
On April 20, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC, and together with the SEC, the “Agencies”) proposed a comprehensive overhaul of Form PF.
To help retail investors better understand the services, fees, costs, conflicts of interest, and required standards of conduct that apply to relationships with broker-dealers (Broker-Dealers), ...
It's the agency's second round of Form CRS compliance cases. The SEC is encouraging firms to self-report delinquencies. By Mark Schoeff Jr. The SEC Tuesday fined 12 financial firms a total of $292,523 ...
Guidance from the Securities and Exchange Commission late last month could limit RIAs’ ability to define themselves in their Forms CRS as fiduciaries, according to the Institute for the Fiduciary ...
Mark Jahn is a financial writer, editor, consultant, and award-winning economist covering ETFs, stocks, cryptocurrencies, options, and more. Yarilet Perez is an experienced multimedia journalist and ...
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