Website Reviews
Firms should have appropriately established controls for review, approval, and [...]
24
09, 2021
10
09, 2021
Personal Trade Reviews
Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]
27
08, 2021
Supervising Vendors
FINRA recently released Regulatory Notice 21-29 regarding a broker-dealer's obligation [...]
20
08, 2021
IRAs and Prohibited Transactions
The U. S. Department of Labor (DOL) recently published their [...]
16
07, 2021
FINRA’s New And Improved Fund Analyzer Tool
FINRA has recently given us all a new and improved [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]
12
07, 2021
Investment Adviser Marketing Rule
Effective May 4, 2021, the SEC’s recently adopted amendment to [...]
28
06, 2021
How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]
21
06, 2021
Schedule 13(d) and 13(g)
Sections 13(d) and 13(g) of the Securities Exchange Act of [...]
18
06, 2021
Custody Requirements
Previously on our blog we discussed situations where advisers are [...]