Tag: Safeguarding Rule

The SEC aims to try again with its rules on predictive analytics and safeguarding by year’s end and for swing...

The same criticisms of the proposal linger, but the SEC is continuing to push ahead.

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice.

The proposal would require advisers to eliminate conflicts related to a wide range of computational technology.

The rule violation announcement is the second the regulator has issued in a ‘targeted’ effort, even as it seeks public...

Adviser advocacy and interest groups expressed disapproval for the SEC’s proposal, citing discretionary trading concerns and limiting annuity use.