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www.sec.gov/news/speech/alicea-2016-aicpa.html

Dec 5, 2016 ... In addition to the observations I provide today, you will also hear from ... questions discussed by the TRG and AICPA Industry Task Forces, ... I observe that the guidance in Topic 606 explicitly limits which contracts should be combined. ... to their adoption of the new revenue standard so it will continue to be ...

www.sec.gov/investment/im-guidance-2017-02.pdf

While many robo-advisers were initially geared towards millennials, their ... and that not all of the issues addressed in this guidance will be applicable to every ..... continues to innovate and develop new ways to provide advisory services to ...

www.sec.gov/investment/im-guidance-updates.html

Mar 15, 2017 ... This is a list of the Division of Investment Management's Guidance ... 2016-05 - Staff Guidance Concerning Investment Adviser Reliance on ...

www.sec.gov/spotlight/cybersecurity

Aug 11, 2017 ... The SEC provides valuable guidance, including an Investor Alert ... cybersecurity guidance to help broker-dealers, investment advisers, ... other market participants protect their customers from cyber threats. ... Cyber Investigative Joint Task Force · FINRA - Cybersecurity ... Signup for news about this topic.

www.usatoday.com/story/money/columnist/powell/2016/04/06/investors-new-fiduciary-rule-protection/82661384

Apr 6, 2016 ... Department of Labor aims to force financial advisers to do what's best for ... Play Video ... breaks down the new fiduciary standards and how it will impact you. ... " By ignoring the advice of the SEC and Congress, the DOL's rule ... for an exemption intended to assure that the customer is adequately protected.

www.investmentnews.com/article/20160509/FEATURE/160509939/the-dol-fiduciary-rule-will-forever-change-financial-advice-and-the

May 9, 2016 ... The idea is that the regulation will stop advisers from putting their own ... offer guidance on 401(k) plan assets, individual retirement accounts or ..... But some will discover the rule will force them to find a new adviser for retirement assets. ... on the SEC to approve a uniform fiduciary standard, something SEC ...

www.investmentnews.com/article/20170515/FREE/170519948/fidelitys-approach-to-dol-fiduciary-rule-rankles-some-401-k-advisers

May 15, 2017 ... The firm is staking out its fiduciary position in a manner that's much more ... " Fidelity is saying, 'I'll exploit this new set of rules to my advantage,'" said Philip ... advice to participants once the DOL rule comes into force, according to a ... the needs of our plan sponsor, participant and adviser customers first by ...

www.proskauer.com/files/News/ad593921-034a-4db9-a665-ee972dc9cdc8/Presentation/NewsAttachment/8c4231b1-c9d2-4ae3-9700-f0a5ede72542/Regulation%20of%20Investment%20Advisers%20by%20the%20US%20Securities%20and%20Exchange%20Commission%20-%20March%202017.pdf

V. How Does an Investment Adviser Register Under the Advisers Act? . ...... The SEC staff has provided recent guidance on the fiduciary obligations of .... “special compensation” when it charges its customer a separate fee for investment ..... of two new exemptions by reference to Regulation S under the Securities Act of ...

www.nytimes.com/2016/04/30/your-money/the-pros-and-cons-of-using-a-robot-as-an-investment-adviser.html

Apr 29, 2016 ... A robo-adviser does not ask about money held outside of its service, for example, ... try to wiggle out of too much responsibility in their customer agreements. ... And last May, the S.E.C. and the Financial Industry Regulatory Authority, ... guidance for investors and advisers using such automated services.