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After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange Commission (the “SEC”) announced some
The SEC doesn’t back down from a fight no matter the size of the players. Wells Fargo took a hit
The SEC hasn’t slowed down their hunt for harmed investors. Oh, no. As of late, more than $3 million has
With recent increase in the usage of electronic communication, we thought it necessary to touch on what the SEC is
As more aggregation takes place in the industry, more firms are supervising advisors located throughout the country.  With the pandemic, this
Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic. These have come operationally, technologically, commercially, and
The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance
The Securities and Exchange Commission recently announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges