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For the second consecutive year, investment advisor compliance professionals ranked marketing and advertising as their No. 1 compliance worry. Driving this ongoing angst is a new Securities and ...
Trump advisers and potential nominees have also discussed plans to either combine or otherwise restructure the main federal bank regulators: the FDIC, OCC and the Federal Reserve, the WSJ report ...
And, according to the report, "People also made less effort to determine the accuracy of confident advisers; interest in buying adviser performance data decreased as the adviser's confidence went up."
On February 21, 2023, the United States Securities and Exchange Commission (SEC) charged the Church of Jesus Christ of Latter-day Saints (LDS Church) and its non-profit investment arm, Ensign Peak Advisors (EP), for failing to disclose the LDS Church's investments, and instead creating shell companies whose purpose was to obscure the church's portfolio.
On June 29, 2012, Peter pleaded guilty in Federal court to a variety of charges and agreed to a 10-year prison term. Peter Madoff sometimes signed many weeks of compliance reports in one sitting, intentionally changing pens and ink colors to make it appear he had signed them at various times, according to prosecutors. [46]
The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
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The law provides in part: § 80b–1. Findings Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4 of this title, and facts otherwise disclosed and ascertained, it is found that investment advisers are of national concern, in that, among other things—