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)…

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…

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…