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…