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…

Conflicts of Interest | Form CRS | Investment Adviser Regulation | Regulation Best Interest | SEC Rule changes

SEC Proposes New Best Interest Standard for BDs, Conduct Standards for RIAs, Warns Advisers about Bad Billing Practices, and the EU Extends its Reach on Data Protection: Regulatory Update May 1, 2018

SEC Proposes “Regulation Best Interest” for Broker-Dealers: In an attempt to “enhance the quality and transparency of investors’ relationships with investment advisers and broker dealers,” the SEC has proposed and…