The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules -
The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more
9/15/2016
/ 529 Plans ,
Beneficial Owner ,
Best Interest Contract Exemptions ,
Broker-Dealer ,
Business Continuity Plans ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Derivatives ,
Disclosure Requirements ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Examination Priorities ,
Fees ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
MSRB ,
Mutual Funds ,
OCIE ,
Political Contributions ,
Private Equity ,
Registered Investment Companies (RICs) ,
Risk Alert ,
Rule G-37 ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Share Classes
OCIE Announces 2015 Priorities -
The SEC’s Office of Compliance, Inspections and Examinations (OCIE) recently announced its selected list of 2015 examination priorities for investment advisers, broker-dealers, and...more