Betsy T. Voter

SEC & FinCEN Propose Customer ID Program Rule For RIAs & ERAs

SEC Enforcment Roundup & 4 Key Compliance Items

FinCEN To Impose Broad AML Obligations On Investment Advisers

What Is The Department Of Labor's Prohibited Transaction Exemption 2020-02?

GameStop Is Still Relevant: SEC Proposes T+1 Settlement Cycle

Raising Money? Use This New SEC Tool To Learn About Your Options.

Yes, GME Has Changed Equity Markets: The SEC Just Published Its Proposed Shorting Rule

Will The GameStop Frenzy Change The Equity Markets? SEC Releases Report On The Market Conditions Of Early 2021

SEC Issues Risk Alert On Investment Adviser Fees