SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs

The Division of Examinations (Exams) published a Risk Alert (attached) to help broker-dealers prepare for an examination. The Risk Alert...

The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...

The Securities and Exchange Commission on Wednesday advanced by a 3-2 vote a new rule proposal (new rule 206(4)-11 and rule amendments...

We are pleased to announce that our Chief Executive Officer, Elizabeth Hamilton-Guarino, 53, has been named a Top 50 Women CEO of 2022....