What types of securities does the SEC regulate? It indicates an expandable ... standard when working with customers (though not all advisors fall under this regulation). Another key regulation ...

The SEC rule is also about the process ... It’s critical to understand all types of risk, Giunta added: “You need to make sure you're stepping back and understanding geopolitical risk ...

In its Spring 2024 Regulatory Flexibility agenda, the SEC indicated that it would adopt three Advisers Act rules in the ...

The 2025 Examination Priorities also provide information about the types of rules violations that the SEC is focused on detecting and preventing. Not every regulated entity is examined every year ...

For all the cybersecurity transparency fans ... “as-a-precaution” filings than the actual types of disclosures that the SEC is after. The disclosures of serious breaches might still end ...

The registered investment adviser’s Form ADV discloses important information about the firm, including the firm’s number of employees and clients, their types ... SEC does not verify all ...

“We weren't necessarily expecting an All-SEC freshman or a guy that played ... and show 110 percent effort on every play. These types of players will always find themselves on the court.

What types of evidence are needed to substantiate ... It is important that firms maintain a log of all marketing material that meets the SEC's definition of "advertising" and ensure claims can ...

The SEC media picked Robinson to be on the All-SEC Third Team ... one of the most underrated teams in the SEC. Robinson is the type of player who can shoot the ball but will also get to the ...

was arrested Thursday and charged with allegedly helping steal the identity of a person who had access to the SEC’s X account ...

the SEC and game officials. “This type of behavior will not be tolerated,” the statement said. “We are committed to fostering a positive environment for all participants, teams, officials ...

University of Texas leaders apologized to Georgia and the SEC after ... environment for all participants, teams, officials and fans, and we will take steps to ensure that this type of behavior ...