Tag: SEC

Legislative and Judicial Actions

The SEC returns to cybersecurity enforcement pledge; Form 5500 revisions; revenue-sharing disclosure failures result in SEC action; and more.

PANC 2021: Telling Your Story

Financial advisers have new opportunities when it comes to marketing, branding and thought leadership, but there is fine line between what is trendy or new and what goes against policy.

Revenue Sharing Disclosure Failures Result in SEC Action

A recent cease-and-desist order filed by the Securities and Exchange Commission underscores the fact that revenue sharing among financial advisers and ‘parties in interest’ is not necessarily an inherent problem—but a failure to disclose the relationship and the potential for conflict is.

SEC Sanctions Offer New Cybersecurity Guideposts

One former SEC enforcement leader says actions against several advisory firms that allegedly had cybersecurity failures make a clear case for the use of multifactor authentication—but that’s just the beginning of cybersecurity.

‘Like’ Me

How to procure, and use, client endorsements to advertise your practice.