What investment advisors need to know about Custody Rule compliance The Security and Exchange Commission’s (“SEC”) mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. In order to protect investors, the SEC enforces federal securities laws, including the SEC Custody Rule (the “Custody Rule” or “Rule”). It is critical … Continue reading The SEC Custody Rule
Copy and paste this URL into your WordPress site to embed
Copy and paste this code into your site to embed