The SEC Rule Change to Advisor Marketing Rules
In mid-December, the SEC adopted an amended rule to the [...]
5
02, 2021
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 [...]
29
01, 2021
Our Top 5 Blogs of 2020
MasterCompliance continues to provide clients and the public with guidance [...]
26
01, 2021
Updates to Form CRS in 2020 (Part 2)
The SEC released updates to Form CRS in 2020 with [...]
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
15
01, 2021
NASAA’s New Rule on IAR CE
The North American Securities Administrators Association ("NASAA") recently adopted a new rule that will require Investment Advisor Representatives ("IARs") to complete 12 credit hours of Continuing Education annually.
24
12, 2020
Footnote 74 Under SEC’s Customer Protection Rule
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
17
12, 2020
FINRA Report Filing Due Dates for 2021
FINRA recently released a notice about 2021 and first quarter [...]
15
12, 2020
UTMA and UGMA Custodial Accounts
Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to [...]