Cryptocurrency and The Securities Industry
Cryptocurrency (also spelled crypto currency) is everyone’s new favorite hot [...]
26
07, 2018
12
07, 2018
Cybersecurity Programs Remain a Priority in 2018
Cybersecurity programs remain a significant priority for financial services industry [...]
11
06, 2018
How to Register as an RIA: State Registration vs. SEC Registration
In our previous blog on Registered Investment Advisers (RIAs), “How [...]
10
05, 2018
How to Register as an RIA: What is a Registered Investment Adviser?
A Registered Investment Adviser, or “RIA” as it is commonly [...]
6
04, 2018
OBAs & PSTs: FINRA Seeks Comment on Proposed Rule
Last spring, FINRA began a review of its rules regarding [...]
13
12, 2017
The DOL’s Fiduciary Rule Transition Period Extended 18 Months
As you may recall, the Fiduciary Rule’s BIC Exemption and [...]
1
11, 2017
Investment Advisory Programs – Safe Harbor Rule 3a-4
One of the key differences between an investment company and [...]
6
10, 2017
The Importance of a Chinese Wall in Multi-Service Securities Firms
Multi-service securities firms have a high risk of insider trading [...]
21
09, 2017
How to Become an RIA
A registered investment advisor (“RIA”) is a person or firm [...]
7
08, 2017
Annual Reviews – SEC Rule 206(4)-7
SEC Rule 206(4)-7 requires investment advisers to review, no less [...]