DOL Fiduciary Rule | Form ADV Disclosure | MSRB Rules | Municipal Advisors | Regulatory Deadlines

Death Knell for Fiduciary Rule? MSRB Requires Disclosure of Mark-Ups/Mark-Downs and Reminds Municipal Advisors about Customer Complaints: Regulatory Update April 2018

Is the Fiduciary Rule Dead? The Department of Labor announced that it will not be enforcing the Fiduciary Rule “pending further review,” after the Fifth Circuit Court of Appeals vacated…

12b-1 Fees | FINRA Rule Changes | Form ADV Disclosure | Mutual Funds | SEC Examinations | SEC News

SEC Offers Amnesty, Outreach and Exam Priorities, FinCEN CDD Deadline Looms and FINRA Posts FAQs on Exploitation of Seniors: Regulatory Update March 2018

SEC Enforcement Division Offers “Favorable Settlement Terms” to Advisers that Self-Report Failure to Disclose Receipt of Rule 12b-1 Fees: In a rare move, the SEC is offering to forego fines…