Category: Best Execution
12b-1 Fees | Advertising and Marketing | Best Execution | Conflicts of Interest | cybersecurity | FINRA Examinations | NFA | Regulatory Deadlines | SEC Exam | SEC Examinations
OCIE and FINRA Set Exam Priorities, FINRA Issues Cybersecurity Tips, and SEC Finds More Undisclosed Conflicts: Regulatory Update for February 2019
OCIE Announces 2019 Examination Priorities: The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 exam priorities on December 20, 2018. OCIE’s priorities haven’t changed much…
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…
Best Execution | Conflicts of Interest | FINRA Examinations | FINRA Rule Changes | NFA | Trading Away | Virtual Currency | Wrap Accounts
FINRA Updates Registration Rules, NFA Writes Disclosures for Virtual Currencies and SEC Stays Busy with Actions against RIAs: Regulatory Update for September 2018
SEC Goes Ahead with Administrative Proceedings: With little fanfare, the SEC issued an order to terminate its previous stay on pending administrative proceedings before its Administrative Law Judges (“ALJ”) on…
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…
Best Execution | Conflicts of Interest | DOL Fiduciary Rule | FINRA Rule Changes | ICO | Mutual Fund Distribution | Regulatory Deadlines
SEC Answers Questions on Share Class Initiative, Creates Mock ICO; DOL Agrees to Continue Non-Enforcement Policy, and FINRA Helps BDs with Tips on Heightened Supervision: Regulatory Update June 2018
SEC issues FAQs on Share Class Disclosure Initiative: I meant what I said and I said what I meant: Back on February 12, 2018, the SEC Division of Enforcement announced…
Best Execution | Custody | FINRA Rule Changes | Form ADV | MiFID II | SEC Examinations
Regulatory Update November 2017
SEC Addresses Impact of MiFID II with Three No-Action Letters: The SEC has issued three no-action letters to help market participants comply with the European Union’s Markets in Financial Instruments…
Advertising and Marketing | Best Execution | Conflicts of Interest | Custody | FINRA Rule Changes | Private Funds | SEC Examinations
Regulatory Update for October 2017
Risk Alert: The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers: The Office of Compliance Inspections and Examinations (“OCIE”) shared its list of “Most Frequent…
Best Execution | Business Continuity | Conflicts of Interest | FATCA | FINRA Rule Changes | Mutual Funds | Pay to Play | Qualified Client | Regulatory Deadlines | Trading Away | Wrap Accounts
Regulatory Update August 2016
REMINDER: FINRA members’ websites must include hyperlink to BrokerCheck. Effective June 6, 2016, FINRA Rule 2210 (Communications with the Public) requires websites of broker-dealers to include a “readily apparent reference…