BDC | Broker Dealer Regulation | Investment Adviser Regulation | Mutual Funds | NFA | Privacy | Private Funds | Regulatory Deadlines | SEC Rule changes

SEC’s Division of Enforcement is Not Taking a Summer Break, FINRA Speaks on Best Execution, Margin Requirements and Private Placements, New Definition of Qualified Client Takes Effect and More: Regulatory Update for August 2021

Trading Restrictions Impacting Chinese Military Companies Persist but Modified Under New Executive Order. President Biden signed Executive Order 14032 (“E.O.”) on June 3, 2021, which effectively continues the restrictions on…

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…