Identity Theft Red Flags Rule
The CFTC and the SEC are jointly issuing final rules [...]
15
12, 2016
2
12, 2016
Consolidated Audit Trail (CAT) Approved
The Securities and Exchange Commission (SEC) has approved a National [...]
17
11, 2016
Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]
20
10, 2016
MSRB Revises Content Outline for Series 50 Exam
In June 2016, the Municipal Securities Rulemaking Board (MSRB) filed [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part II
[Continued from Exempt Reporting Adviser Registration – Part I] Requirements [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part I
The Dodd-Frank Act (“Dodd-Frank”) not only mandated the registration of countless [...]
22
09, 2016
Upcoming Changes to Form ADV Part 1
The Securities and Exchange Commission (SEC) recently announced revisions to [...]
19
09, 2016
SEC Rule 17a-4: Electronic Storage Media
Under certain conditions, a broker-dealer may maintain and preserve records [...]
14
06, 2016
Regulation Crowdfunding – Part I
On October 30, 2015, the Securities and Exchange Commission (the “SEC”) voted [...]