Broker Dealer Regulation | CFTC | Form CRS | IARD | Investment Adviser Regulation | NFA | Private Funds | Regulatory Deadlines

States Starting to Drop COVID-19 Related Relief, SEC Updates Form CRS FAQs, IARD 2021 Renewal Programs Commence, and NASAA Report Shows States Flexing Investigatory Muscles: Regulatory Update for November 2020

Cybersecurity Awareness Month – Noteworthy Resources. October was Cybersecurity Awareness Month.  Here is a recap of recent alerts and notices from regulators: FBI Public Service Announcement: A COVID 19-Driven Increase…