Category: IARD
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…
FINRA Examinations | Form ADV | IARD | MiFID II
Form ADV Deadlines, Updates to Compliance Programs, FINRA Priorities and Protection of Specified Adults: Regulatory Update for February 2018
Regulatory Review 2017: HCC put together a list of the top regulatory hot buttons from 2017 to help you focus your compliance efforts in 2018. 11 Key Takeaways for Updating…
Custody | cybersecurity | DOL Fiduciary Rule | Form ADV | IARD | Pay to Play | Regulatory Deadlines | SEC Exam | SEC Examinations
Regulatory Update for March 2017
DOL Fiduciary Rule Status: 60 days of breathing room! The DOL has announced a proposed extension of the applicability date from April 10 to June 9, 2017. OCIE releases Top…
DOL Fiduciary Rule | FINRA Examinations | Form ADV | IARD | Regulatory Deadlines | SEC Examinations
Regulatory Update for February 2017
SEC Exam priorities for 2017: The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination priorities, including some golden oldies from 2016 and a few new twists. …
DOL Fiduciary Rule | FINRA Rule Changes | IARD | Mutual Funds | Pay to Play
Regulatory Update November 2016
DOL Issues First of Three FAQs on New Fiduciary Rule! DOL says no extensions to the April 2017 deadline. Read the 34 FAQs here. Highlights: The FAQs provide details on…