Advertising and Marketing | CFTC | FINRA Rule Changes | Investment Adviser Regulation | Mutual Funds | Private Funds | SEC Rule changes

SEC Agrees to Broaden Exemptions to New Issue and Spinning Rules; Comment Now on SEC Advertising and Cash Solicitation Rule Changes; CFTC Simplifies CPO/CTA Registration Exemptions; Actively-Managed ETFs Clear Regulatory Barrier: Regulatory Update for January 2020

SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules. See also: FINRA Amends Rules Regarding Initial Public Offerings.  Effective January 1, 2020, FINRA Rules 5130 and 5131 have been…

Conflicts of Interest | Form ADV Disclosure | Form CRS | GIPS | Investment Adviser Regulation | Mutual Fund Regulation | NFA | Regulatory Deadlines | SEC News

SEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC’s Proposed Advertising & Cash Solicitation Rule Changes; Mutual Funds Placed on SEC’s Naughty List; Year-End Reminders: Regulatory Update for December 2019

SEC Declares Victory for 2019 Despite all Obstacles: Division of Enforcement Publishes Annual Report for Fiscal Year 2019. Starting with the usual self-serving statements about the Commission’s success in punishing…

Conflicts of Interest | FINRA Rule Changes | Form ADV Disclosure | Investment Adviser Regulation | Mutual Funds | Regulation Best Interest | Regulatory Deadlines | TRACE

SEC’s Relentless Pursuit of Comp-Related Conflict Disclosures, RIA and BD Annual Renewals Come Due, FINRA Year in Review, New ETF Rule Eliminates Need for Exemptive Orders, Zero Commissions – What’s Next?: Regulatory Update for November 2019

Between a Rock and a Hard Place: SEC’s FAQs on Conflicts of Interest and Recent Settlements Set Bar Impossibly High for Advisers.  The SEC is going on the offensive, tackling…

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…

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”). …

Conflicts of Interest | Form CRS | Investment Adviser Regulation | Regulation Best Interest | SEC Rule changes

SEC Proposes New Best Interest Standard for BDs, Conduct Standards for RIAs, Warns Advisers about Bad Billing Practices, and the EU Extends its Reach on Data Protection: Regulatory Update May 1, 2018

SEC Proposes “Regulation Best Interest” for Broker-Dealers: In an attempt to “enhance the quality and transparency of investors’ relationships with investment advisers and broker dealers,” the SEC has proposed and…