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Searching Content indexed under Securities by Robin M. Bergen ordered by Published Date Descending.
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SEC To Allow Settling Parties To Submit Simultaneous Settlement Offers And Applications For Waiver From Disqualifications
On July 3, SEC Chairman Jay Clayton issued a statement signaling a policy change in SEC settlements and the consideration of applications for waiver of collateral consequences flowing from those settlements, ...
United States
15 Jul 2019
2
Proposed Bad Actor Disqualification Act Of 2019 Would Severely Limit The Availability Of Waivers For Institutions Entering Into Settlements With The SEC And DOJ
Last month, Representative Maxine Waters, Chair of the House Financial Services Committee, introduced a discussion draft of the "Bad Actor Disqualification Act of 2019".
United States
12 Jul 2019
3
SEC Adopts Regulation Best Interest And Investment Adviser Conduct Guidance
It also stressed a goal of maintain investors' ability to choose between the two.
United States
27 Jun 2019
4
SEC Adopts Best Interest Standard For Broker-Dealers And Fiduciary Duty Guidance For Investment Advisers
New Standards Seek to Maintain Flexibility But Leave Open Questions About Scope and Enforcement.
United States
25 Jun 2019
5
SEC Privacy Risk Alert May Foreshadow Upcoming Reg S-P Enforcement Against Broker-Dealers, Investment Advisers
In the Risk Alert, OCIE indicated it had frequently identified deficiencies with regard to Firms' provision of adequate notice to their customers.
United States
20 Jun 2019
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