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FINRA Warns Firms to Finalize Forms U4 and U5 Today! SEC Withdraws Proxy Voting Letters, GIPS Proposes Changes, and SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID: Regulatory Update for October 2018

SEC withdraws Prior Guidance on Proxy Voting Firm Independence.  The SEC’s Division of Investment Management issued an Information Update officially withdrawing two no-action letters on proxy voting issued back in…

CFTC | Conflicts of Interest | Custody | DOL Fiduciary Rule | FINRA Rule Changes | Hedge Funds | ICO | Municipal Advisors | Mutual Funds | Private Funds | SEC News

SEC Hits Pause Button for ALJs; Updates on Custody Rule; SEC Director Discusses What Makes Cryptocurrency a Security; Mutual Funds Allowed to Save Trees: Regulatory Update for July 2018

SEC Stops All In-House Cases after Defeat in Supreme Court:   The SEC enforcement division suffered a blow when the U.S. Supreme Court held that the process for hiring SEC’s administrative…