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AdvisorHub reports that dozens of former registered representatives with the Personal Financial Management unit of Goldman Sachs have discovered that their Forms U5 contain notices regarding their decision to leave for rivals ahead of the sale of that division to...
The definition of an accredited investor was the main topic at a meeting this week of the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee, InvestmentNews reports. The committee, which meets quarterly, provides a mechanism for...
The U.S. Supreme Court is weighing a challenge to the enforcement powers of the Securities and Exchange Commission, according to Reuters. The case is being brought by hedge fund manager George Jarkesy, who was the subject of an SEC enforcement action for securities...
A new report examines the utilization of alternative strategies and vehicle structures by financial advisors, reports InvestmentNews. The analysis was contained in the Fuse Research Network's Advisor Trend Monitor Series Report. It found that while some advisors have...
The Securities and Exchange Commission announced details of a virtual public meeting to be held by its Investor Advisory Committee later this week. The committee focuses on investor-related interests. It advises the SEC on regulatory priorities and various...
The Securities and Exchange Commission has issued a summary of its enforcement actions for the fiscal year 2023, according to a Reuters report. The commission announced that it filed 784 total enforcement actions during the year, a 3 percent increase over fiscal year...
The latest meeting of the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee was held this week, the commission announced. The committee, which meets quarterly, was established by the SEC Small Business Advocate Act of 2016. It is...
Investor advocates have raised concerns about a new Financial Industry Regulatory Authority proposal involving the marketing of financial products, reports AdvisorHub. The proposed rule change, filed with the Securities and Exchange Commission, would allow a FINRA...
The Securities and Exchange Commission has approved a plan allowing broker-dealers to inspect their branch offices remotely rather than in-person, according to AdvisorHub. The plan was initially developed by the Financial Industry Regulatory Authority in response to...
The 60-day public comment period for feedback on the U.S. Department of Labor's new fiduciary rule is not going to be extended, Wealth Management reports. The department's proposed rule would update the definition of an investment advice fiduciary under the Employee...
