Schedule 13(d) and 13(g)
Sections 13(d) and 13(g) of the Securities Exchange Act of [...]
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06, 2021
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06, 2021
Custody Requirements
Previously on our blog we discussed situations where advisers are [...]
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06, 2021
Act 22: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
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06, 2021
MSRB Reminders: Regulatory Exam Priorities
As part of its routine examinations, FINRA will often coordinate [...]
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06, 2021
Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
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06, 2021
FINRA Highlights Changes To eFOCUS Reporting Requirements For SBS Dealers
In 2019, the Securities and Exchange Commission (SEC) adopted amendments [...]
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06, 2021
Assessing Custody for Registered Investment Advisers
One of the most critical rules under the Investment Advisers [...]
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06, 2021
Brokers with a Disclosure History
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s [...]
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06, 2021
Material Changes to Form ADV
An investment adviser must promptly update its brochure if the [...]
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06, 2021
Electronic Storage for Investment Advisers
SEC Rule 204-2 require that firms make and keep required books [...]