SEC Fines Audit Firm KPMG $50 Million for “Astounding” Misconduct

June 19, 2019

SEC Proposes Offering Reforms for BDCs and Registered Closed-End Funds

March 22, 2019

SEC Releases Investor Testing Report on Proposed Form CRS Relationship Summary

November 8, 2018

New Jersey to Propose “Uniform Fiduciary Standard” for Investment Professionals

September 21, 2018

Elad Roisman Sworn in as SEC Commissioner

September 12, 2018

Alts Wire Q&A with Tony Chereso, President and CEO of the Institute for Portfolio Alternatives

September 12, 2018

Senate Confirms Elad Roisman as Fifth SEC Commissioner

September 6, 2018

Merrill Lynch Reverses Ban on Commission-Based Retirement Accounts

August 31, 2018

SEC Chairman Clayton: Broker Sales Contests Should Be Eliminated

August 23, 2018

Massachusetts Regulator Blasts SEC Best Interest Proposal, Threatens State Rule

August 8, 2018

SEC Opens Comment Period for Broker Advice Rules

May 14, 2018

Commissioner Michael Piwowar to Resign from SEC

May 8, 2018

SEC Submits “Fiduciary Rules” for Public Comment

April 19, 2018

SEC to Hold Public Fiduciary Rule Meeting Next Week

April 13, 2018

DOL Halts Fiduciary Rule Enforcement Following Appeals Court Decision

March 20, 2018

SEC Commissioner Michael Piwowar to Speak at IPASummit 2018

March 15, 2018

SEC Charges Former KPMG and PCAOB Employees in Audit Leak

January 23, 2018

Fiduciary Groups Call for Restricted Use of “Financial Advisor” Title

January 17, 2018

Robert Jackson and Hester Peirce Sworn in as SEC Commissioners

January 12, 2018

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