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 | Cross Trading | Form CRS | Private Funds | Regulation Best Interest | Regulatory Deadlines

States Challenge Reg-BI, Into the Weeds on Form CRS, NY Updates Privacy Laws, Share Class Selection Violations Reach Private Funds and FINRA Arbitration Puzzle – Custodian Liable for Unaffiliated Adviser Conduct: Regulatory Update for October 2019

Risk Alert on Principal and Agency Cross Transactions. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert warning advisers about cross trading compliance issues under Section…

Conflicts of Interest | cryptocurrency | Form CRS | Municipal Advisors | Regulation Best Interest | Regulatory Deadlines | Seniors and Vulnerable Investors

Fee-Based Annuities Get a Boost, More Resources on Reg BI and Form CRS, States get Tough on Crypto Scams, SEC Speaks on Proxy Voting, Gets Tough to Protect Vulnerable Adults and Drops the Other Shoe on Revenue Sharing: Regulatory Update for September 2019

IRS Ruling Allows Advisers to be Paid out of Fee-Based Annuities. Nationwide and a few other insurers, including Lincoln Financial and Great American Life, have received private letter rulings from…

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 | cybersecurity | FINRA Rule Changes | Mutual Funds | Regulatory Deadlines | SEC News | Seniors and Vulnerable Investors

SEC and OCIE Reach Out to B-Ds; Regulators Warn Firms to Use Enhanced Security on Cloud Storage; SEC’s War on “May” Continues, and Oklahoma Gets Schooled on Cybersecurity Risks: Regulatory Update for June 2019

SEC announces 2019 CCO Outreach program details: The 2019 National Compliance Outreach Program for Broker-Dealers, co-sponsored by the SEC and FINRA, will be held in Chicago on June 27, 2019….

12b-1 Fees | 529 plans | cryptocurrency | Custody | FINRA Rule Changes | Mutual Fund Regulation | Private Funds | Regulatory Deadlines | SEC News | SEC Rule changes

SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, New Testing for Swap Traders and 79 Firms Settle with SEC in Share Class Initiative

IA Watch Webinar on Real-Life Lessons on BCPs with Jill Grenda, Managing Director at Hardin Compliance Consulting:  Don’t miss IA Watch’s FREE webinar, Real-Life Lessons Learned from Peers Who’ve Had…

529 plans | Chief Compliance Officer | FINRA Examinations | Form ADV | Regulatory Deadlines

March Madness for RIAs – Form ADV Annual Update; FINRA Hops on Share Class Bandwagon; More Big Fines for AML Failures and Dual-Hatted CCO takes a Fall: Regulatory Update for March 2019

Reminder: The deadline for filing the Form ADV update for investment advisers with a fiscal year end of December 31 is March 31, 2019, which is a Sunday.   IARD will…

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…

CFTC | Chief Compliance Officer | cryptocurrency | Mutual Fund Regulation | Mutual Funds | Regulatory Deadlines

Advisers Fall Short on Referral Arrangements, Mutual Fund Exams Planned, Updates to Annual and FOCUS Reports Finalized, and Compliance Program Fails: Regulatory Update for December 2018

Photo by Clever Visuals on Unsplash Risk Alert – Investment Adviser Compliance Issues Related to the Cash Solicitation Rule: The Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert with a…

Advertising and Marketing | Conflicts of Interest | cybersecurity | FINRA Rule Changes | GIPS | Private Funds | Regulatory Deadlines | SEC Rule changes

FINRA Warns Firms to Finalize Forms U4 and U5 Today! SEC Withdraws Proxy Voting Letters, GIPS Proposes Changes, and SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID: Regulatory Update for October 2018

SEC withdraws Prior Guidance on Proxy Voting Firm Independence.  The SEC’s Division of Investment Management issued an Information Update officially withdrawing two no-action letters on proxy voting issued back in…