Tag: Off-Channel Communications

In its annual report, the SEC auditor warned of litigation related to current and future rules; separately, the ASA called...

The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.

Gurbir Grewal’s SEC tenure will be remembered for his aggressive actions that spurred changes in financial advisement, and his successor...

The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting.