Chris Stanley

Me: I should post/engage on here more often. Also me: I should throw my phone into a lake. Coming back online after vacation is like getting firehosed with helpful insights and pure sewage all at once.

The SEC's code of ethics rule fairly prescriptive—particularly with respect to the reporting of "access persons" beneficially-owned securities accounts. The 3 most important questions to answer when designing and implementing a compliant code of ethics w/r/t reporting of

This might be a new record in content v. disclosure ratio: 24% content and 76% disclosure. Congratulations to Goldman Sachs Asset Management and its compliance department; I tip my cap. Is this what the SEC thinks consumers actually want or need? https://t.co/NfUjr9TR2U

Seeing actual personality / self-deprecating humor from companies is always refreshing… even in seemingly minor ways like an app update. https://t.co/RcEdeAaY72

Want to temporarily hide an overwhelming Gmail inbox when you need to focus on non-email tasks? Don't make your inbox your default view. If you're like me and you keep a Gmail tab open in your browser at all times for ease of reference and search, the stream of incoming unread https://t.co/U39wuDDK8X

SEC staff have been directed to evaluate whether the $100 million AUM threshold for SEC registration as an investment adviser should be "adjusted" (i.e., raised). The last time the SEC raised the AUM threshold from $25 million to $100 million in 2010 as a result of Dodd-Frank, https://t.co/ODpCctiKNi

You know you spend too much time in your email inbox when the faint outline of it is literally burned-in to your computer monitor. Don't ask me how I know.

An adviser must redeliver Form CRS to an existing client before or at the time the adviser: 📨 Opens a new account that is different from the client's existing account(s); 📨 Recommends that a client roll over assets from a retirement account to a new or existing account or

Time will tell what proposed and final SEC rules may be withdrawn, but I think a lot of advisers would be happy if the ones highlighted in the screenshot die on the vine (especially #13). https://t.co/2KXpTrEvO6 Notably not on the list: 1. Regulation S-P: Privacy of Consumer https://t.co/9ZrqJ70gJE

Paul Atkins confirmed as next SEC Chair

U.S. Senate Banking Committee GOP @BankingGOP

Chairman @SenatorTimScott’s statement on the confirmation of Paul Atkins to serve as Chairman of @SECGov: 🔗https://t.co/A9dHL8FChT https://t.co/3dRMIf93Jd

There is one silver lining for SEC-registered advisers that are now below $90M in AUM due to the recent market dip, and worried they may have to transition to state registration: You have until the time you file your 2026 annual ADV amendment to hit at least $90M in AUM to

PSA for anyone using a virtual meeting transcription service that auto-joins all meetings and emails the transcription to all attendees: Any pre-meeting 'banter' with your colleagues before the counterparty joins may also be transcribed and emailed to said counterparty.

Preach! 🇺🇸 "The current regulatory environment for our financial system inhibits investment and too often punishes success. Unclear, overly politicized, complicated, and burdensome regulations are stifling capital formation, while American investors are flooded with disclosures

Reuters pegs SEC staff voluntary departures (i.e. buyouts) at about 12% - or 500 to 700 staffers; additional forthcoming involuntary departures are TBD. Leases on the SEC's Philadelphia and Los Angeles regional offices are also set to terminate (and potentially the Chicago

I'm so sick of posting updates about the !@#$% FinCEN Beneficial Ownership Information reporting rule, but hopefully this will be the last one for a while (or forever): All U.S. companies and U.S persons are now exempt from FinCEN BOI filing obligations, as the requirement now https://t.co/lx80QAtCNA

I've officially reached the "listening to Darude/Sandstorm on loop" phase of annual ADV amendment season... 🤘🎧. Go time. https://t.co/2IXLPnDOUc