Supervising Vendors
FINRA recently released Regulatory Notice 21-29 regarding a broker-dealer's obligation [...]
27
08, 2021
13
08, 2021
New York IAR Registration Waiver Deadline Reminder
This blog is a follow up to our Change to [...]
30
07, 2021
FINRA Adopts Rules to Further Restrict Brokers with Disclosures
FINRA uses a combination of tools to reduce the risk [...]
12
07, 2021
Investment Adviser Marketing Rule
Effective May 4, 2021, the SEC’s recently adopted amendment to [...]
2
07, 2021
FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective September 1, 2021, FINRA is amending its rulebook to [...]
30
06, 2021
Regulators Focus on Reg BI During 2021 Audits
The Securities and Exchange Commission adopted a new rule under [...]
28
06, 2021
How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
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 [...]