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…

Best Execution | Conflicts of Interest | DOL Fiduciary Rule | FINRA Rule Changes | ICO | Mutual Fund Distribution | Regulatory Deadlines

SEC Answers Questions on Share Class Initiative, Creates Mock ICO; DOL Agrees to Continue Non-Enforcement Policy, and FINRA Helps BDs with Tips on Heightened Supervision: Regulatory Update June 2018

SEC issues FAQs on Share Class Disclosure Initiative:  I meant what I said and I said what I meant:  Back on February 12, 2018, the SEC Division of Enforcement announced…

DOL Fiduciary Rule | Form ADV Disclosure | MSRB Rules | Municipal Advisors | Regulatory Deadlines

Death Knell for Fiduciary Rule? MSRB Requires Disclosure of Mark-Ups/Mark-Downs and Reminds Municipal Advisors about Customer Complaints: Regulatory Update April 2018

Is the Fiduciary Rule Dead? The Department of Labor announced that it will not be enforcing the Fiduciary Rule “pending further review,” after the Fifth Circuit Court of Appeals vacated…