Principal and Agency Cross Trading
Investment Adviser Principal and Agency Cross Trading practices was the [...]
13
09, 2019
9
09, 2019
Compliance, Supervision, and Disclosures
Beginning in 2017, the United States Security and Exchange Commission [...]
30
08, 2019
Regulation Best Interest and CRS Relationship Summary
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]
14
08, 2019
Cryptocurrency Reg A+ Offering Approved by the SEC
Last month, the U.S. Securities and Exchange Commission (SEC) finally [...]
22
07, 2019
The Senior Safe Act: “Immunity” with Conditions
On May 23, 2019, the SEC, NASAA, and FINRA published [...]
11
02, 2019
Custody for Private Fund Advisers
If you are a private fund adviser (i.e. hedge fund [...]
12
11, 2018
Disclosure Requirements – SEC Adopts Amendments
In August 2018, the U.S. Securities and Exchange Commission (“SEC” [...]
7
11, 2018
SEC Adopts Amendments to Rule 15c2-12 to Improve Municipal Securities Disclosure
In August 2018, the U.S. Securities and Exchange Commission (the [...]
29
10, 2018
SEC Strategic Hub for Innovation and Financial Technology (FinHub)
On October 18, the U.S. Securities and Exchange Commission (SEC) [...]