SEC Fines 12 Additional Firms for Failing to Timely File and Deliver Form CRS
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February 18, 2022
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2022 IAA Policy Outlook: Changes Ahead, Changes Behind
IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.
January 10, 2022
SEC Staff Releases Additional Form CRS Observations
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December 21, 2021
21 Advisers, Six BDs Fined for Form CRS Violations
The SEC has fined 21 investment advisers and six broker-dealers for failing to timely file and deliver their client or customer relationship summaries – known as Form CRS – to...
July 27, 2021
SEC Commissioner Caroline Crenshaw “Bad information, or a lack of information, can lead to bad regulation, which can result in both unnecessary burdens and missed opportunities.” That’s the key takeaway...
May 19, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Three days after announcing his intent to conclude his tenure as SEC Chairman at the end of the year, Jay Clayton returned to the venue of his first speech as...
November 24, 2020
SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable
The SEC and FINRA held a virtual roundtable on October 26 to discuss initial observations on compliance with Regulation Best Interest (Reg BI) and Form CRS. Reg BI and Form...
October 28, 2020