The SEC Rule Change to Advisor Marketing Rules
In mid-December, the SEC adopted an amended rule to the [...]
5
02, 2021
2
02, 2021
SEC Rule to Simplify Exempt Offering Framework for Small Firms
On Nov. 2, 2020, the U.S. Securities and Exchange Commission [...]
1
02, 2021
SEC Rule to Allow for the Use Electronic Signatures
The SEC recently adopted a rule change to allow for [...]
26
01, 2021
Updates to Form CRS in 2020 (Part 2)
The SEC released updates to Form CRS in 2020 with [...]
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
19
11, 2020
Order Routing and The Price of Non-Disclosure
In May of this year, the SEC fined Bloomberg Tradebook [...]
26
06, 2020
Code of Ethics Concerns During COVID-19 and Beyond
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]
27
05, 2020
Regulation Best Interest: Examination Focus Areas
Last month, the SEC’s Office of Compliance Inspections and Examinations [...]
21
05, 2020
Form CRS: Initial Examination Guidance
The June 30th compliance deadline for Regulation Best Interest and [...]
6
05, 2020
Regulatory Exam Preparedness and COVID-19
Your firm is beginning to get in the groove since [...]