Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Custody | cybersecurity | Form CRS | Hedge Funds | Investment Adviser Regulation | Regulation Best Interest | Regulatory Deadlines | SEC News | SEC Rule changes

No Slack for Firms on Compliance with Reg BI and Form CRS; SEC Eases Deadlines and Restrictions on Custody and Mutual Funds, and Disclosure of PPP Loans for Advisers: Regulatory Update for May 2020

SEC Provides Scope and Content of Upcoming Examinations Related to Form CRS.  After June 30, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) plans to examine subject broker-dealers and…

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…

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…