FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
20
01, 2021
19
01, 2021
Updates to Form CRS in 2020 (Part 1)
The SEC released updates to Form CRS in 2020 with [...]
24
12, 2020
Footnote 74 Under SEC’s Customer Protection Rule
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
19
11, 2020
Order Routing and The Price of Non-Disclosure
In May of this year, the SEC fined Bloomberg Tradebook [...]
4
11, 2020
Investment Advisers Act: Know the Rules or Pay the Price
Knowing firm requirements as set forth in the Investment Advisers [...]
15
10, 2020
Why Small Firms Need Compliance Program Assessments
With the rise in new regulations, small firms generally experience [...]
5
10, 2020
Regulation S-P: Possible Compliance Weaknesses
SEC Risk Alerts are helpful tools that notify broker-dealers and [...]
15
09, 2020
Cybersecurity in the Time of COVID-19
For many firms, a remote workforce is now a new [...]
26
06, 2020
Code of Ethics Concerns During COVID-19 and Beyond
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]
11
06, 2020
Compliance Surveillance Trends During COVID-19
The messages are clear. Sales practice concerns, fraud, and operational [...]