SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals (SEC Press Release)
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser (Release No.: IA-5249)
Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Release No.: IA-5248; File No. S7-07-18)
Form CRS Relationship Summary; Amendments to Form ADV
Regulation Best Interest: The Broker-Dealer Standard of Conduct (Release No.: 34-86031; File No. S7-07-18)
Statement at the Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to our Main Street Investors by SEC Chair Clayton
Statement on Final Rules Governing Investment Advice by SEC Commissioner Robert J. Jackson Jr.
Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of "Solely Incidental" by SEC Commissioner Elad L. Roisman
Statement Regarding the SEC's Rulemaking Package for Investment Advisers and Broker-Dealers by SEC Investor Advocate Rick Fleming
GUEST BLOG: Being Evil by Aegis Frumento, Esq (BrokeAndBroker.com Blog)
SEC Charges Perpetrators of Prime Bank Investment Scheme for Defrauding Investors (SEC Release)
SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant (DOJ Release)
CEO Of Public Commodities Trading Company Charged In $66 Million Accounting Fraud Scheme
Defendant Allegedly Inflated Company's Revenue to Defraud Investors (DOJ Release)
SEC Files Fourth Subpoena Enforcement in Possible Market Manipulation Scheme (SEC Release)
