SEC Releases New RIA Form ADV Filing Requirements Effective October 2017
Securities and Exchange Commission (SEC) adopted amendments to Investment Advisers [...]
7
07, 2017
3
07, 2017
2017 Examination Priorities for RIA’s and BD’s
The Office of Compliance Inspections and Examinations (“OCIE”) of the [...]
22
06, 2017
Reminder: Testing ORF and ADF Changes for Trade Reporting and T+2 Settlement
In accordance with the industry-led initiative to shorten the settlement [...]
5
06, 2017
SEC Issues Ransomware Risk Alert Highlighting Cybersecurity Best Practices
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
17
11, 2016
Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]
20
10, 2016
MSRB Revises Content Outline for Series 50 Exam
In June 2016, the Municipal Securities Rulemaking Board (MSRB) filed [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part II
[Continued from Exempt Reporting Adviser Registration – Part I] Requirements [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part I
The Dodd-Frank Act (“Dodd-Frank”) not only mandated the registration of countless [...]
22
09, 2016
Upcoming Changes to Form ADV Part 1
The Securities and Exchange Commission (SEC) recently announced revisions to [...]