Category: CFTC
Broker Dealer Regulation | CFTC | Conflicts of Interest | ERISA | FINRA Rule Changes | Investment Adviser Regulation | Mutual Fund Regulation | Private Funds | Regulatory Deadlines | SEC Rule changes
DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness – NCAA Players Scammed: Regulatory Update for March 2021
Not Quite Dead Yet – DOL’s Fiduciary Rule Rises Again! On December 18, 2020, the Department of Labor (DOL) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020-02”), subjecting 401(k) rollover subject…
Best Execution | Broker Dealer Regulation | CFTC | Conflicts of Interest | FINRA Rule Changes | Form ADV | Investment Adviser Regulation | Mutual Funds | Private Funds | Regulatory Deadlines | SEC Rule changes
ADV Season is Here; Hardin Releases 2021 Compliance Resources for Brokers and RIAs; Don’t Forget Your CPO Annual Affirmations; SEC Creates 5-Year “Sandbox” for BD Custody of Digital Assets: Regulatory Update for February 2021
Custody of Digital Asset Securities by Special Purpose Broker-Dealers. Just in time for Christmas, the SEC issued a Statement conveying its position that, for five years, a broker-dealer operating under…
Broker Dealer Regulation | CFTC | Form CRS | IARD | Investment Adviser Regulation | NFA | Private Funds | Regulatory Deadlines
States Starting to Drop COVID-19 Related Relief, SEC Updates Form CRS FAQs, IARD 2021 Renewal Programs Commence, and NASAA Report Shows States Flexing Investigatory Muscles: Regulatory Update for November 2020
Cybersecurity Awareness Month – Noteworthy Resources. October was Cybersecurity Awareness Month. Here is a recap of recent alerts and notices from regulators: FBI Public Service Announcement: A COVID 19-Driven Increase…
Broker Dealer Regulation | CFTC | Conflicts of Interest | cybersecurity | FINRA Rule Changes | Form CRS | Investment Adviser Regulation | Private Funds | Regulation Best Interest | SEC News
COVID-19 Compliance Risks Continue, SEC Surveying Initial Form CRS Filings, Exempt CPOs: Your Attention is Needed, and Guidance for BDs on Customer Due Diligence: Regulatory Update for September 2020
Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers. Although it may seem like a note from Captain Obvious, SEC’s Office of Compliance Inspections and Examinations (OCIE) sent…
Advertising and Marketing | CFTC | FINRA Rule Changes | Investment Adviser Regulation | Mutual Funds | Private Funds | SEC Rule changes
SEC Agrees to Broaden Exemptions to New Issue and Spinning Rules; Comment Now on SEC Advertising and Cash Solicitation Rule Changes; CFTC Simplifies CPO/CTA Registration Exemptions; Actively-Managed ETFs Clear Regulatory Barrier: Regulatory Update for January 2020
SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules. See also: FINRA Amends Rules Regarding Initial Public Offerings. Effective January 1, 2020, FINRA Rules 5130 and 5131 have been…
CFTC | Chief Compliance Officer | cryptocurrency | Mutual Fund Regulation | Mutual Funds | Regulatory Deadlines
Advisers Fall Short on Referral Arrangements, Mutual Fund Exams Planned, Updates to Annual and FOCUS Reports Finalized, and Compliance Program Fails: Regulatory Update for December 2018
Photo by Clever Visuals on Unsplash Risk Alert – Investment Adviser Compliance Issues Related to the Cash Solicitation Rule: The Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert with a…
CFTC | Conflicts of Interest | Custody | DOL Fiduciary Rule | FINRA Rule Changes | Hedge Funds | ICO | Municipal Advisors | Mutual Funds | Private Funds | SEC News
SEC Hits Pause Button for ALJs; Updates on Custody Rule; SEC Director Discusses What Makes Cryptocurrency a Security; Mutual Funds Allowed to Save Trees: Regulatory Update for July 2018
SEC Stops All In-House Cases after Defeat in Supreme Court: The SEC enforcement division suffered a blow when the U.S. Supreme Court held that the process for hiring SEC’s administrative…
CFTC | Chief Compliance Officer | DOL Fiduciary Rule | FINRA Rule Changes | Form ADV | Form ADV Disclosure | Municipal Advisors | TRACE
Regulatory Update July 2017
Updates to Form ADV FAQs: SEC’s Division of Investment Management announced updates to its FAQs on Form ADV and IARD in its latest Information Update dated June 2017. Here’s a…