Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
23
06, 2023
5
08, 2022
Options Disclosure Document Update
This is a reminder for broker-dealers who provide options services [...]
29
04, 2022
Outside Business Activity Disclosure Form Best Practices
When creating an outside business activity (“OBA”) disclosure form, it's [...]
21
06, 2021
Schedule 13(d) and 13(g)
Sections 13(d) and 13(g) of the Securities Exchange Act of [...]
18
06, 2021
Custody Requirements
Previously on our blog we discussed situations where advisers are [...]
4
06, 2021
Brokers with a Disclosure History
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s [...]
3
06, 2021
Material Changes to Form ADV
An investment adviser must promptly update its brochure if the [...]
14
05, 2021
Form ADV Part 3 Items
Under rule 17a-14 under the Securities Exchange Act of 1934 [...]
12
05, 2021
Share Class Selection
Advisers have a fiduciary obligation to recommend a share class [...]
7
05, 2021
Form ADV Part 3: Relationship Summary
Under rule 17a-14 under the Securities Exchange Act of 1934 [...]