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 | cryptocurrency | FINRA Rule Changes | Hedge Funds | Investment Adviser Regulation | Mutual Funds | Private Equity | Private Funds | Regulation Best Interest | SEC News | SEC Rule changes | Seniors and Vulnerable Investors

SEC and FINRA Struggle with Digital Assets; Reg BI Disclosure Duties Explained; RIA’s Fail when Hiring Advisors with Black Marks; and Firms Pay the Price for Employees’ Greed: Regulatory Update for August 2019

Yes, Digital Assets are Securities, but no, We’re Not Ready to Let You Deal in Them Yet. The SEC and FINRA issued a Joint Staff Statement on Broker-Dealer Custody of…

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….