2 days ago
DIM boss promises new marketing rule FAQs
Transparency advocate Natasha Greiner said new guidance will allow RIAs to advertise gross individual performance as well as net, if the context is right
2 days ago
Gov’t shutdown would put SEC on hold
A government shutdown beginning March 14 would leave 400 of 5,000 SEC staff on duty, freeze all but emergency action and enforcement
Despite reversals, reorganization, acting chair Mark Uyeda promises slow changes to address 'overly ambitious' Gensler-era SEC
Feb. 18 executive order would eliminate independence of agencies, give control of regulatory, enforcement decisions to political appointees
Experts worry that SEC will lose impact, institutional knowledge by cooperating too willingly with White House mass-firing plan for federal workers
3 weeks ago
SEC shrinks, renames crypto enforcement unit
Significantly smaller enforcement unit will cover non-compliance, fraud and cybercrime in crypto, AI, social media, other emerging technologies
Flip from broker to adviser account cost clients up to 10x in fees
Trump-era SEC signals it won’t fight overturn of signature issue of Gensler’s SEC; ESG fund rule also likely dead in the water
Reuters reports major investigations must be cleared through commission now lacking those backing enforcement most fiercely
Task Force goals set by ‘Crypto mom’ include fraud prevention, tailored regulation, reasonable, not hands-off enforcement
