Category: FINRA Rule Changes
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 | Broker Dealer Regulation | Conflicts of Interest | cybersecurity | FINRA Rule Changes | Investment Adviser Regulation | Mutual Fund Regulation | Private Funds | Regulatory Deadlines | SEC News | Seniors and Vulnerable Investors
Ransomware Attacks! SEC Creates New Hoops for Advisers with Automated Proxy Voting; and Private Fund Conflicts Still Under the Microscope: Regulatory Update for August 2020
RANSOMWARE ATTACKS! Is Your Firm Ready? OCIE issued a risk alert warning investment advisers, broker dealers, and investment companies that increasingly sophisticated ransomware attacks are being carried out on many…
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…
Conflicts of Interest | FINRA Rule Changes | Form ADV Disclosure | Investment Adviser Regulation | Mutual Funds | Regulation Best Interest | Regulatory Deadlines | TRACE
SEC’s Relentless Pursuit of Comp-Related Conflict Disclosures, RIA and BD Annual Renewals Come Due, FINRA Year in Review, New ETF Rule Eliminates Need for Exemptive Orders, Zero Commissions – What’s Next?: Regulatory Update for November 2019
Between a Rock and a Hard Place: SEC’s FAQs on Conflicts of Interest and Recent Settlements Set Bar Impossibly High for Advisers. The SEC is going on the offensive, tackling…
Conflicts of Interest | cryptocurrency | FINRA Rule Changes | Hedge Funds | Investment Adviser Regulation | Mutual Funds | Private Equity | Private Funds | Regulation Best Interest | SEC News | SEC Rule changes | Seniors and Vulnerable Investors
SEC and FINRA Struggle with Digital Assets; Reg BI Disclosure Duties Explained; RIA’s Fail when Hiring Advisors with Black Marks; and Firms Pay the Price for Employees’ Greed: Regulatory Update for August 2019
Yes, Digital Assets are Securities, but no, We’re Not Ready to Let You Deal in Them Yet. The SEC and FINRA issued a Joint Staff Statement on Broker-Dealer Custody of…
Conflicts of Interest | cybersecurity | FINRA Rule Changes | Mutual Funds | Regulatory Deadlines | SEC News | Seniors and Vulnerable Investors
SEC and OCIE Reach Out to B-Ds; Regulators Warn Firms to Use Enhanced Security on Cloud Storage; SEC’s War on “May” Continues, and Oklahoma Gets Schooled on Cybersecurity Risks: Regulatory Update for June 2019
SEC announces 2019 CCO Outreach program details: The 2019 National Compliance Outreach Program for Broker-Dealers, co-sponsored by the SEC and FINRA, will be held in Chicago on June 27, 2019….
cryptocurrency | FINRA Rule Changes | Mutual Fund Regulation | Privacy
OCIE Lists Privacy Blunders; SEC Explains When Digital Assets become Securities; Ohio Mandates IARs and RR to Report Elder Abuse; FINRA Gives Broker an “F” in Email Review; and Google Searches Don’t Count as Due Diligence
Reg S-P Compliance Violations Spelled out by SEC: OCIE reviewed two years of deficiency letters and came up with a list of the most common Regulation S-P compliance issues. The…
12b-1 Fees | 529 plans | cryptocurrency | Custody | FINRA Rule Changes | Mutual Fund Regulation | Private Funds | Regulatory Deadlines | SEC News | SEC Rule changes
SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, New Testing for Swap Traders and 79 Firms Settle with SEC in Share Class Initiative
IA Watch Webinar on Real-Life Lessons on BCPs with Jill Grenda, Managing Director at Hardin Compliance Consulting: Don’t miss IA Watch’s FREE webinar, Real-Life Lessons Learned from Peers Who’ve Had…
Advertising and Marketing | Conflicts of Interest | cybersecurity | FINRA Rule Changes | GIPS | Private Funds | Regulatory Deadlines | SEC Rule changes
FINRA Warns Firms to Finalize Forms U4 and U5 Today! SEC Withdraws Proxy Voting Letters, GIPS Proposes Changes, and SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID: Regulatory Update for October 2018
SEC withdraws Prior Guidance on Proxy Voting Firm Independence. The SEC’s Division of Investment Management issued an Information Update officially withdrawing two no-action letters on proxy voting issued back in…
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…