Wrap Fee Program
A wrap fee program is an arrangement between financial institutions [...]
14
07, 2017
12
07, 2017
Investment Advisers: SEC vs. State Registration
Due to the Dodd-Frank legislation, as of mid-2012, there are [...]
7
07, 2017
SEC Releases New RIA Form ADV Filing Requirements Effective October 2017
Securities and Exchange Commission (SEC) adopted amendments to Investment Advisers [...]
3
07, 2017
2017 Examination Priorities for RIA’s and BD’s
The Office of Compliance Inspections and Examinations (“OCIE”) of the [...]
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 [...]
2
06, 2017
SEC Approves Rules Relating to Financial Exploitation of Senior Investors (Rule 2165 and Rule 4512)
FINRA has recently announced the SEC approval of new Rule [...]
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 [...]