'financial adviser' related content
Editorial content matching 'financial adviser'
Content with tags matching 'financial adviser':
79 days ago - News Articles
The Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for investment advisers and it also issued an Investor Bulletin about th...
79 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-33 Washington, D.C., March 4, 2013 — The Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for ...
82 days ago - News Articles
SIFMA today released the following statement from Ira Hammerman, senior managing director and general counsel after the Securities and Exchange Commission (SEC) published a re...
82 days ago - News Articles
SIFMA today released the following statement from Ira Hammerman, senior managing director and general counsel after the Securities and Exchange Commission (SEC) published a re...
82 days ago - News Articles
The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standar...
82 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-32 Washington, D.C., March 1, 2013 — The Securities and Exchange Commission today published a request for data and other information to assist...
90 days ago - News Articles
The Securities Exchange Commission today published its examination priorities for 2013, which cover a wide range of issues at financial institutions, including broker-dealers,...
90 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-26 Washington, D.C., Feb. 21, 2013 — The Securities Exchange Commission today published its examination priorities for 2013, which cover a wid...
90 days ago - News Articles
The Securities and Exchange Commission today charged an investment adviser located in the U.S. Virgin Islands with defrauding clients from whom he withheld the fact that he wa...
91 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-25 Washington, D.C., Feb. 21, 2013 — The Securities and Exchange Commission today charged an investment adviser located in the U.S. Virgin...