Act 22: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
16
06, 2021
14
06, 2021
MSRB Reminders: Regulatory Exam Priorities
As part of its routine examinations, FINRA will often coordinate [...]
11
06, 2021
Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
7
06, 2021
Assessing Custody for Registered Investment Advisers
One of the most critical rules under the Investment Advisers [...]
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 [...]
28
05, 2021
Delivery of Form ADV
Determining if delivery of Form ADV is required for each [...]
24
05, 2021
How to Qualify for Puerto Rico’s Act 20
Act 20, known as the “Export Services Act”, provides tax [...]
19
05, 2021
Act 20: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
17
05, 2021
Rule 13(f)
Institutional investment managers (“Managers”) must use Form 13F for reports [...]