Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Form ADV | Form CRS | Mutual Funds | Private Funds | Regulation Best Interest | Regulatory Deadlines | SEC News | SEC Sweep Examinations

Coming Soon – Annual Form ADV Update for RIAs; SEC Answers More Questions on Reg BI and Form CRS FAQs, MA Leads the Pack by Adopting First State Fiduciary Standard Rule for Broker-Dealers, FINRA Wants to Know How Zero Commission Brokers are Making Money: Regulatory Update for March 2020

SEC Updates Reg BI FAQs. The SEC posted new FAQs to assist firms in complying with their obligations under Regulation Best Interest (“Reg BI”).  The new content covers what it…

12b-1 Fees | BDC | Best Execution | Electronic Communications | FINRA Examinations | SEC Sweep Examinations

OMG! SEC Gives Tips on IM and Texting, More Advisers Caught in 12b-1 Fee Scandal, and Lessons Learned from FINRA Exams: Regulatory Update for January 2019

Photo by Rawpixel  on Unsplash SEC Risk Alert – Observations from Investment Adviser Examinations Relating to Electronic Messaging:  In 2017, the OCIE performed a sweep exam targeting the use of electronic…