The North American Securities Administrators Association introduced the Investment Adviser Representative Exam Validity Extension Program.
News & Insights
An investment adviser settled charges with the SEC for violating whistleblower protection rules by restricting employees from communicating potential securities law violations to the SEC.
NFA issued guidance reminding CPOs and CTAs that failure to affirm an active exemption from registration will result in the exemption being withdrawn on March 2, 2023.
An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.
SEC staff reminded broker-dealers and investment advisers of the obligation under Regulation Best Interest and the IAA fiduciary standard to act in a retail investor's best interest and disclose conflicts of interest.