Disclosure Requirements – SEC Adopts Amendments
In August 2018, the U.S. Securities and Exchange Commission (“SEC” [...]
12
11, 2018
9
11, 2018
2019 FINRA Renewal Program for BDs and RIAs
The 2019 FINRA Renewal Program for Broker-Dealers, Investment Adviser Firms, [...]
7
11, 2018
SEC Adopts Amendments to Rule 15c2-12 to Improve Municipal Securities Disclosure
In August 2018, the U.S. Securities and Exchange Commission (the [...]
29
10, 2018
SEC Strategic Hub for Innovation and Financial Technology (FinHub)
On October 18, the U.S. Securities and Exchange Commission (SEC) [...]
24
10, 2018
How to Register as an RIA: Rule 203 A-2(c)
As you may remember from our earlier blogs on registered [...]
22
10, 2018
Guidance on Third-Party Recordkeeping Services and SEA Rule 17a-4
As you may remember from our earlier post on the [...]
19
10, 2018
Customer Identification Program (CIP): Common Questions – Part II
[Continued from Customer Identification Program (CIP): Common Questions – Part [...]
19
10, 2018
Customer Identification Program (CIP): Common Questions – Part I
In our previous post on customer identification programs, “Customer Identification [...]
17
10, 2018
NASAA Proposes Information Security Rule for RIAs
The North American Securities Administrators Association, Inc. (“NASAA”) is requesting [...]
15
10, 2018
Customer Identification Program (CIP): Definitions and Requirements – Part II
[Continued from Customer Identification Program (CIP): Definitions and Requirements – [...]