Filing A Suspicious Activity Report (“SAR”)
The Financial Crimes Enforcement Network requires certain financial institutions to [...]
19
03, 2021
15
03, 2021
FINRA Notice 21-03: Low-Priced Securities Fraud
FINRA released regulatory notice 21-03, FINRA Urges Firms to Review [...]
12
03, 2021
State Exemptions from Investment Adviser Registration GalleryState Exemptions from Investment Adviser Registration
Exempt Reporting Adviser, Filing Requirements, FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration
State Exemptions from Investment Adviser Registration
For an investment adviser to qualify for an exemption from [...]
3
03, 2021
Change to New York IAR Registration GalleryChange to New York IAR Registration
Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD
Change to New York IAR Registration
On December 1, 2020, the state of New York adopted [...]
17
02, 2021
Successor Rules for Registered Investment Advisers
The Successor Rules for registered investment advisers in the Securities [...]
10
02, 2021
FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
5
02, 2021
The SEC Rule Change to Advisor Marketing Rules
In mid-December, the SEC adopted an amended rule to the [...]
2
02, 2021
SEC Rule to Simplify Exempt Offering Framework for Small Firms
On Nov. 2, 2020, the U.S. Securities and Exchange Commission [...]
1
02, 2021
SEC Rule to Allow for the Use Electronic Signatures
The SEC recently adopted a rule change to allow for [...]
26
01, 2021
Updates to Form CRS in 2020 (Part 2)
The SEC released updates to Form CRS in 2020 with [...]