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17 May 2024, 6:42 am
By Suzanne CosgroveA new investment adviser statistics report released Wednesday by the SEC’s Division of Investment Management reveals more than 15,000 registered investment advisers had approximately $128 trillion in regulatory assets under management (RAUM) as of December 2023, as the number of SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) also posted steady growth over the past 10 years.The tallies in the report are based on aggregated data filed… [read post]
16 May 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
16 May 2024, 3:57 am
Russian forces are preparing to attempt to capture the village of Lyptsi, located about 19 miles north of Kharkiv, Ukraine’s second largest city, according to a Russian-installed official quoted by Russia’s RIA state news agency. [read post]
15 May 2024, 5:58 am
The rule would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document, and maintain written CIPs to identify and verify the true identity of their customers (Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers, Release No. [read post]
14 May 2024, 12:39 pm
This proposed rule complements the separate FinCEN proposed from February 2024 to designate RIAs and ERAs as “financial institutions” under the Bank Secrecy Act and subject them to AML/CFT program requirements and suspicious activity report filing obligations. [read post]
13 May 2024, 8:05 am
Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (…Read the Full Press Release Have a securities law question? [read post]
9 May 2024, 3:08 pm
On March 18, 2024, the Securities and Exchange Commission (the SEC) announced that it had settled charges against two registered investment advisers (RIAs) related to false and misleading representations about each RIA’s alleged use of artificial intelligence (AI) in effecting financial services, conduct which the SEC coined as “AI Washing. [read post]
9 May 2024, 7:29 am
The post FTC Announces Changes to Ban Noncompete Provisions appeared first on RIA Compliance Blog. [read post]
29 Apr 2024, 5:05 am
Etihad StadiumAuthor Cléria De Souza Licence CC BY 2.0 Source Wikimedia CommonsJane LambertCourt of Appeal (Lords Justices Males,, Phillips and Birss) Supponor Ltd and another v AIM Sport Development AG [2024] EWCA Civ 396 (23 April 2024)This was an appeal against Mr Justice Meade's judgment in AIM Sport Vision AG v Supponor Ltd and another [2023] EWHC [read post]
24 Apr 2024, 5:05 am
“We will increase the intensity of attacks on logistics centers and storage bases for Western weapons,” Sergei Shoigu said, according to Russian state-owned media outlet RIA Novosti. [read post]
22 Apr 2024, 1:15 pm
Cetera Financial Specialists LLC Thomas Prieur Lincoln Financial Advisors Corporation The Lincoln National Life Insurance Company Ronald Wells II Northwestern Mutual Investment Services, LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
19 Apr 2024, 1:34 pm
Morgan Securities LLC Quintosha Thomas For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
18 Apr 2024, 7:37 am
The post SEC Fines 5 RIAs Under New Marketing Rule appeared first on RIA Compliance Blog. [read post]
15 Apr 2024, 4:55 am
According to Russia’s state-owned news outlet Ria Novosti, the Russian personnel are part of Africa Corps, the new paramilitary structure intended to replace the Wagner group. [read post]
10 Apr 2024, 8:31 am
USCIS, Apr. 9, 2024 "Under the new provisions of section 203(b)(5)(E)(vii) added by the EB-5 Reform and Integrity Act of 2022 (RIA) to the Immigration and Nationality Act, we must audit each designated regional center at least once every five years. [read post]
9 Apr 2024, 10:32 am
A história que pretendi então escrever, uma história do instantâneo fotográfico moderno conforme seu devir, exigia dois movimentos: libertar sua origem do historicismo — isto é, de seu interminável desfiar de antecedentes — e pensar o instantâneo (e o próprio instante, de fato) como imanentes. [read post]
8 Apr 2024, 12:36 am
By Irina Strelkovskaya Background Yulia Tsvetkova is an artist and LGBTQ+ and women’s rights activist from Komsomolsk-on-Amur, in the Far East of the Russian Federation. [1] In 2018, Tsvetkova began her activism and opened a city community center for civic initiatives, where she hosted weekly lectures, called “Living Library” sessions, to support groups for schoolchildren and mothers. [2] Also, in 2018, Yulia and her mother, Anna Khodyreva, organized a theater studio for… [read post]
7 Apr 2024, 9:40 am
RIA Novosti alleged these comments were made during a Shangai Cooperation Organization (SCO) event. [read post]
4 Apr 2024, 5:10 am
Signup to receive the Early Edition in your inbox here. [read post]
28 Mar 2024, 9:01 pm
However, the definition does not cover RIAs or ERAs. [read post]
