Regulation Best Interest and CRS Relationship Summary
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
30
08, 2019
22
07, 2019
The Senior Safe Act: “Immunity” with Conditions
On May 23, 2019, the SEC, NASAA, and FINRA published [...]
17
07, 2019
AML Podcast Released by FINRA – Unscripted
During April and May 2019, FINRA introduced a new AML [...]
11
02, 2019
Custody for Private Fund Advisers
If you are a private fund adviser (i.e. hedge fund [...]
29
11, 2018
Quantitative Suitability – FINRA Rule 2111
Welcome to the third and final part in our series [...]
28
11, 2018
Customer-Specific Suitability-FINRA Rule 2111
This post is the second in our three-part series on [...]
26
11, 2018
Reasonable-Basis Suitability – FINRA Rule 2111
Although suitability is a well-established principle within the securities industry, [...]
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 [...]
22
10, 2018
Guidance on Third-Party Recordkeeping Services and SEA Rule 17a-4
As you may remember from our earlier post on the [...]
19
10, 2018
Customer Identification Program (CIP): Common Questions – Part II
[Continued from Customer Identification Program (CIP): Common Questions – Part [...]