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…

Advertising and Marketing | Best Execution | Custody | Mutual Fund Regulation | Mutual Funds | Pay to Play | SEC Examinations

Best Execution Tips, FINRA Impostors, Changes in Liquidity Disclosures for Funds and Pay-to-Play Fines: Regulatory Update for August 2018

 OCIE Issues Risk Alert on Best Execution: The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert to provide investment advisers with information about the most common…

12b-1 Fees | FINRA Rule Changes | Form ADV Disclosure | Mutual Funds | SEC Examinations | SEC News

SEC Offers Amnesty, Outreach and Exam Priorities, FinCEN CDD Deadline Looms and FINRA Posts FAQs on Exploitation of Seniors: Regulatory Update March 2018

SEC Enforcement Division Offers “Favorable Settlement Terms” to Advisers that Self-Report Failure to Disclose Receipt of Rule 12b-1 Fees: In a rare move, the SEC is offering to forego fines…