12b-1 Fees | BDC | Best Execution | Electronic Communications | FINRA Examinations | SEC Sweep Examinations

OMG! SEC Gives Tips on IM and Texting, More Advisers Caught in 12b-1 Fee Scandal, and Lessons Learned from FINRA Exams: Regulatory Update for January 2019

Photo by Rawpixel  on Unsplash SEC Risk Alert – Observations from Investment Adviser Examinations Relating to Electronic Messaging:  In 2017, the OCIE performed a sweep exam targeting the use of electronic…

12b-1 Fees | Conflicts of Interest | Cross Trading | Custody | Mutual Fund Regulation | Mutual Funds | NFA

Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts: Regulatory Update November 2018

Photo by Matt Seymour on Unsplash Annual Renewal Program for IARD System: Get out your checkbooks!  It is time for the annual renewal of investment adviser (IA) firms and their IA representatives’ (IARs)…

12b-1 Fees | FINRA Rule Changes | Form ADV Disclosure | Mutual Funds | SEC Examinations | SEC News

SEC Offers Amnesty, Outreach and Exam Priorities, FinCEN CDD Deadline Looms and FINRA Posts FAQs on Exploitation of Seniors: Regulatory Update March 2018

SEC Enforcement Division Offers “Favorable Settlement Terms” to Advisers that Self-Report Failure to Disclose Receipt of Rule 12b-1 Fees: In a rare move, the SEC is offering to forego fines…