SEC Chair Provides Comments on the SEC’s Agenda

Brief Introduction SEC Chair, Gary Gensler, made multiple comments during a 30-minute discussion with IAA CEO, Karen Barr, that gave insight into the SEC’s agenda for the industry’s regulatory environment. […]

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$200 Million Fine for Misuse of Personal Devices

Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because of its unapproved usage of […]

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EXAMS Issues Reminder For The Marketing Rule Compliance Date

Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them about the compliance date for […]

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