With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act Rule 206(4)-5 (the...more
4/22/2024
/ Broker-Dealer ,
Compliance ,
Enforcement ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Pay-To-Play ,
Political Contributions ,
Quid Pro Quo ,
Securities and Exchange Commission (SEC) ,
Securities Violations
A new service, Snapchat, has joined the constellation of social media services with potential business implications. Snapchat is a mobile application, originally aimed at teenagers, which allows users to send photos and text...more
8/12/2013
/ Audits ,
Broker-Dealer ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Facebook ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Securities and Exchange Commission (SEC) ,
Snapchat ,
Social Media ,
Transparency