Category: Form ADV Disclosure
Conflicts of Interest | Form ADV | Form ADV Disclosure | Form CRS | Investment Adviser Regulation | Regulation Best Interest | Regulatory Deadlines | SEC Rule changes
SEC Adopts Broker-Dealer Best Interest Standard, Approves Form CRS and Explains Advisers’ Fiduciary Duty; GIPS 2020 Standards Finalized; Epic Ethics Fail by Large Auditing Firm: Regulatory Update for July 2019
Time to Roll-Up Your Sleeves and Dive into Regulation Best Interest: There are many great resources out there that summarize the newly adopted Securities Exchange Act Rule 15l-1 (“Regulation BI”). …
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…
cybersecurity | DOL Fiduciary Rule | FINRA Rule Changes | Form ADV | Form ADV Disclosure
Regulatory Update for September 2017
Fiduciary Rule Delayed — yet again — until July 1, 2019. The Office of Management and Budget (OMB) moved at lightning speed (for a governmental entity) in approving a proposal…
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…
12b-1 Fees | DOL Fiduciary Rule | Form ADV | Form ADV Disclosure
Regulatory Update June 2017
DOL Fiduciary Rule Effective June 9, 2017: The June 9, 2017 deadline imposed by the Department of Labor’s (DOL) Fiduciary Rule is coming up fast. Just to recap, back in…
DOL Fiduciary Rule | Form ADV | Form ADV Disclosure | Regulatory Deadlines | SEC News | Trading Away | Wrap Accounts
Regulatory Update April 2017
Matthew Hardin will be speaking at the 2017 Financial Markets Association Securities Seminar in Fort Lauderdale, April 26-28. For more information, check out the Financial Markets Association website. Hope to see…
Custody | FINRA Examinations | FINRA Rule Changes | Form ADV Disclosure | SEC News | Strict Liability
Regulatory Update for December 2016
SEC Chair Mary Joe White to Step Down. After nearly four years as head of the SEC, Mary Joe White announced on November 14, 2016 that she intends to leave…