On August 5, 2020, the Securities and Exchange Commission (SEC) proposed amendments to the disclosure framework for mutual funds and exchange-traded funds (ETFs) and to the advertising rules applicable to investment companies...more
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with broker-dealers and investment advisers. The focal point of this...more
9/3/2019
/ Books & Records ,
Broker-Dealer ,
Conflicts of Interest ,
Deadlines ,
Disclosure Requirements ,
Form CRS ,
Investment Adviser ,
Investors ,
Policies and Procedures ,
Regulation BI ,
Retail Investors ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (“SEC”) has made a concerted effort over the last several years to address investment advisers’ conflicts of interests and to establish standards for associated disclosure failures...more