All Custody Rule articles
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News BriefSEC fines five in latest custody rule sweep
The Securities and Exchange Commission announced penalties against five investment advisers as part of its second targeted sweep regarding violations of its custody rule and Form ADV requirements.
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News BriefSEC proposes expansion of RIA custody rule
The Securities and Exchange Commission proposed registered investment advisers be required to place nearly any asset, not just cash and securities, with qualified custodians, thereby expanding the scope of client assets.
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ArticleArcadia fined $90K for custody rule violations; CCO to undergo training
New York-based investment adviser Arcadia Wealth Management will pay $90,000 for violating a Securities and Exchange Commission rule by failing to obtain “surprise” examinations of advisory client assets.
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ArticleNine fined in SEC crackdown on custody rule, Form ADV
Nine investment advisers failed to follow Securities and Exchange Commission rules designed to keep clients’ assets safe and/or timely disclose financial updates following audits, the agency announced.