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…

Broker Dealer Regulation | Investment Adviser Regulation | Mutual Funds | NFA | Private Funds | Regulatory Deadlines | SEC Rule changes

NJ Joins Other States to Protect Seniors, NASAA Warns Smaller Advisers about Cybersecurity Risks, SEC Settles Valuation, Fund Expense & Wrap Fee Actions, and Advice on Returning to the Office: Regulatory Update for June 2020

New Jersey Adopts Its Own Senior Safe Legislation.  New Jersey recently joined Congress, more than 25 other states and FINRA by enacting a new financial exploitation law designed to protect…

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…

12b-1 Fees | Advertising and Marketing | Best Execution | Conflicts of Interest | cybersecurity | FINRA Examinations | NFA | Regulatory Deadlines | SEC Exam | SEC Examinations

OCIE and FINRA Set Exam Priorities, FINRA Issues Cybersecurity Tips, and SEC Finds More Undisclosed Conflicts: Regulatory Update for February 2019

OCIE Announces 2019 Examination Priorities: The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 exam priorities on December 20, 2018.  OCIE’s priorities haven’t changed much…

12b-1 Fees | Conflicts of Interest | Cross Trading | Custody | Mutual Fund Regulation | Mutual Funds | NFA

Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts: Regulatory Update November 2018

Photo by Matt Seymour on Unsplash Annual Renewal Program for IARD System: Get out your checkbooks!  It is time for the annual renewal of investment adviser (IA) firms and their IA representatives’ (IARs)…

Best Execution | Conflicts of Interest | FINRA Examinations | FINRA Rule Changes | NFA | Trading Away | Virtual Currency | Wrap Accounts

FINRA Updates Registration Rules, NFA Writes Disclosures for Virtual Currencies and SEC Stays Busy with Actions against RIAs: Regulatory Update for September 2018

SEC Goes Ahead with Administrative Proceedings:   With little fanfare, the SEC issued an order to terminate its previous stay on pending administrative proceedings before its Administrative Law Judges (“ALJ”) on…