Skip to main content
Skip to navigation

SEC Official Pitches User Fees for Adviser Exams

By Joe Mont2014-08-25T11:00:00

THIS IS MEMBERS-ONLY CONTENT

You are not logged in and do not have access to members-only content.

If you are already a registered user or a member, SIGN IN now.

Related articles

Article
Investment Advisers Next to Feel AML Scrutiny

2015-09-09T12:45:00Z By Joe Mont

Investment advisers have never had to face formal anti-money laundering requirements. That is about to change. A proposed rule by the Treasury Department’s Financial Crimes Enforcement Network adds them to the definition of “financial institutions” and demands comprehensive anti-money laundering programs. That has raised concerns of cost and redundancy and ...
Article
Why Wait for SEC? The DIY Disclosure Review

2015-01-21T15:30:00Z By Joe Mont

While companies await results of the SEC’s ongoing review of its disclosure regime (hint: do not hold breath), they can just as well try the same at home. Creating a disclosure committee, cutting redundancy in 10-K risk factors and MD&A sections, spotlighting material information, and using charts and graphs are ...
News Brief
FTC orders AI firms to disclose safeguards for children and teens

2025-09-12T21:33:00Z By Oscar Gonzalez

AI chatbots are increasingly used by children and teens, prompting the FTC to order seven AI companies to explain how they monitor potential harms to minors.