Advertising and Marketing | Conflicts of Interest | cybersecurity | FINRA Rule Changes | GIPS | Private Funds | Regulatory Deadlines | SEC Rule changes

FINRA Warns Firms to Finalize Forms U4 and U5 Today! SEC Withdraws Proxy Voting Letters, GIPS Proposes Changes, and SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID: Regulatory Update for October 2018

SEC withdraws Prior Guidance on Proxy Voting Firm Independence.  The SEC’s Division of Investment Management issued an Information Update officially withdrawing two no-action letters on proxy voting issued back in…

Advertising and Marketing | Best Execution | Custody | Mutual Fund Regulation | Mutual Funds | Pay to Play | SEC Examinations

Best Execution Tips, FINRA Impostors, Changes in Liquidity Disclosures for Funds and Pay-to-Play Fines: Regulatory Update for August 2018

 OCIE Issues Risk Alert on Best Execution: The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert to provide investment advisers with information about the most common…