In fiscal year 2025, the Securities and Exchange Commission had a departure of 18% of its employees. The SEC’s Division of Investment Management lost 24% of its staff during fiscal year 2025.
What is the effect of the departure? The
“BREAKING NEWS THE [Politician] PORTFOLIO ON DUB SOARED +7.77% TODAY, HITTING A NEW ALL TIME HIGH OF +120%”
This proposed marketing blurb was submitted at 2:31 pm., before the markets has closed for the day. As the Massachusetts Secretary of
These are some compliance-related stories that recently caught my attention.
She Was Invisible for Six Months. Then She Found Out She Was Even More Invisible Than She Thought.
By John Reed Stark in LinkedIn
And here is the darkest irony
If you’re going to tell your clients that their money will be invested according to a particular strategy, you need to invest it according to that strategy. If you say that “portfolio management services are based on Modern Portfolio Theory”
I was scratching my head for a while after my initial reading of the Securities and Exchange Commission action against Madison Capital Funding. The SEC dove into a valuation process that seemed relatively straight-forward to me, but labeled it a
As retail access to private markets accelerates, the Securities and Exchange Commission hosted a roundtable on Wednesday to discuss governance, valuation, and other considerations in the private markets. The SEC has a clear aim of promoting “retailization” of private markets.
Lots of advisers track the FINRA gift limit of $100. Some specifically because they have dual registration. More use that limit because it became a de facto industry standard because it was the only one out there.
The current gift
Beginning March 1, 2026, select professionals involved in real estate closings and settlements are required to report information to the U.S. Department of the Treasury’s Financial Crimes Enforcement Network for non-financed transfers of residential real estate to legal entities or
Why go through the hassle of filing a Form ADV and registering as an investment adviser if you are not a real firm? That was the question I was asking myself a few months ago when the Securities and Exchange
A major goal of a chief compliance officer at a registered investment adviser is to avoid have to face the Securities and Exchange Commission’s enforcement staff. I’ve never spent much time reading its enforcement manual. It’s been updated. The last
