Division of Investment Management

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  Do You Really Need to File That Social Media Post With FINRA?

  By Melanie Waddell, AdvisorOne  |  March 18, 2013

  The SEC has released guidance clarifying which social media posts investment companies must file with FINRA.

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  The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC

  By David Tittsworth, IAA  |  March 14, 2013

  At the Investment Adviser Association’s annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and what’s coming next, especially from the SEC.

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  SEC’s Champ Outlines ‘IM Moving Ahead’ Initiative

  By Melanie Waddell, AdvisorOne  |  February 23, 2013

  The director of the SEC's Division of Investment Management said Friday that his division had launched an “IM Moving Ahead” initiative to assess where the division had “gaps” and to help the division identify its policy priorities.

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  SEC Will Pursue Fiduciary Rule in 2013

  By Melanie Waddell, AdvisorOne  |  December 3, 2012

  The agency’s just-released 2012 Financial Report states that it will move forward with its uniform fiduciary standard rule as well as “continue to assess” ways to better harmonize advisor and BD rules.

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  SEC Says 1,504 Advisors to Hedge Funds, Private Funds Now SEC-Registered

  By Melanie Waddell, AdvisorOne  |  October 19, 2012

  Including the 2,557 private fund advisors who had registered previously, a total of 4,061 advisors to one or more private funds are now registered with the SEC.

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  SEC Names Bowden Deputy Director of Exam Division

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  The SEC announced Wednesday that Andrew J. Bowden has been named deputy director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

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  SEC’s Rominger Replaced by Champ, a Former Hedge Fund Counsel

  By Gil Weinreich, AdvisorOne  |  July 6, 2012

  Norm Champ, who's been with the SEC since 2010, brings his understanding of financial chicanery to bear on investment funds and advisors.

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  FINRA and SEC Warn About Annuity Risks

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  FINRA is looking closely at disclosure, suitability and yield-chasing practices associated with VAs.

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  SEC ‘Seriously Considering’ Simpler VA Prospectus

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Investor demand for an alternative to the 150- to 300-page VA prospectus remains strong, according to a just-released survey by the IRI, and the SEC is “seriously considering” approving shorter documents.

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  SEC’s Plaze Defends Need for Money-Market Fund Reforms

  By Melanie Waddell, AdvisorOne  |  June 19, 2012

  Money-market fund reform “is one of the areas of unfinished businesses” leftover from the 2008 financial crisis, Robert PLaze told mutual fund directors at their annual policy conference.