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

SEC’s Division of Enforcement is Not Taking a Summer Break, FINRA Speaks on Best Execution, Margin Requirements and Private Placements, New Definition of Qualified Client Takes Effect and More: Regulatory Update for August 2021

Trading Restrictions Impacting Chinese Military Companies Persist but Modified Under New Executive Order. President Biden signed Executive Order 14032 (“E.O.”) on June 3, 2021, which effectively continues the restrictions on…

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…