What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?
Marketing and advertising in the mid-20th Century was very different [...]
29
07, 2022
23
07, 2021
FINRA’s Change to Rules 5122 and 5123
On July 15, 2021, FINRA released Regulatory Notice 21-26 announcing [...]
26
05, 2021
Electronic Delivery for Investment Advisers
For advisers to utilize electronic delivery for regulatory documents such [...]
20
04, 2021
New Hire Forms Checklist for RIAs
When a registered investment adviser on boards a new registered [...]
24
02, 2021
FINRA’s Top Priorities for 2021
Early in the year, FINRA released their 2021 Report on [...]
1
09, 2020
Disclosures and Attestations for Associated Persons
Associated person disclosures and attestations are not a “one size [...]
1
05, 2020
Communications Surveillance Challenges While Teleworking
As firms continue executing work from home policies, they should [...]
22
04, 2020
Supervision Relief Related to COVID-19 Pandemic
FINRA Rule 3110 Supervision requires a firm to establish and [...]
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 [...]