SEC Releases New RIA Form ADV Filing Requirements Effective October 2017
Securities and Exchange Commission (SEC) adopted amendments to Investment Advisers [...]
7
07, 2017
22
06, 2017
Reminder: Testing ORF and ADF Changes for Trade Reporting and T+2 Settlement
In accordance with the industry-led initiative to shorten the settlement [...]
5
06, 2017
SEC Issues Ransomware Risk Alert Highlighting Cybersecurity Best Practices
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
28
12, 2016
Rule 603(a): OTC Trades in NMS stocks
Rule 603(a) of SEC Regulation NMS provides that any national [...]
22
12, 2016
FINRA 2017 Holiday Schedule
The FINRA 2017 Holiday Schedule has been released for trade [...]
16
12, 2016
Regulation D: Rule 504 Exemption
While reviewing documents related to a private placement engagement, you [...]
15
12, 2016
Identity Theft Red Flags Rule
The CFTC and the SEC are jointly issuing final rules [...]
2
12, 2016
Consolidated Audit Trail (CAT) Approved
The Securities and Exchange Commission (SEC) has approved a National [...]
20
10, 2016
MSRB Revises Content Outline for Series 50 Exam
In June 2016, the Municipal Securities Rulemaking Board (MSRB) filed [...]
19
09, 2016
SEC Rule 17a-4: Electronic Storage Media
Under certain conditions, a broker-dealer may maintain and preserve records [...]