BDs Remember to File Marketing Material
FINRA has published guidance on its new marketing Rule 2210. See http://www.finra.org/Industry/Issues/Advertising/P197604 FINRA has indicated that retail communications that will now be subject to...
View ArticleTHE SEC DEFEATS INFLATION SORT OF… PENALTIES ADJUSTED
The SEC adopted a rule to adjust the maximum amounts it may recover for civil monetary penalties imposed under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company...
View ArticleSEC Announces Exam Priorities
Tis the season for the regulators to announce their examination priorities. No less than the SEC’s Office of Compliance Inspections and Examinations released its 2014 Examination Priorities for its...
View ArticleIM Division Has “Enhanced” Exam Unit
The SEC’s Division of Investment Management is working on two ways to make its Risk and Examinations Office effective. http://www.sec.gov/News/Speech/Detail/Speech/1370540048684#.Uml5uBAWkoo. According...
View ArticleWhat Is Big Brother Focused On In 2015
It is that time of year again. The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015. Knowing what these priorities are will help firms gauge their...
View ArticleSo What Does The SEC Think About Cybersecurity
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors. This guidance is equally instructive for...
View ArticleWho wants some advice regarding cyber-threats?
A recent article in Onwallstreet.com highlighted certain areas of focus for investment advisors/broker-dealers when it comes to addressing cyber-threats. The article focused on four areas of particular...
View ArticleWho wants more reasons to focus on data security
The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were: Have a strong password, keep it secure...
View ArticleSEC Expands Cryptocurrency Market Worries
Not one for making people feel at ease, the SEC’s Division of Investment Management has indicated that it is not comfortable with investment companies investing in cryptocurrencies and similar...
View ArticleTHE SEC DEFEATS INFLATION SORT OF… PENALTIES ADJUSTED
The SEC adopted a rule to adjust the maximum amounts it may recover for civil monetary penalties imposed under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company...
View ArticleSEC Announces Exam Priorities
Tis the season for the regulators to announce their examination priorities. No less than the SEC’s Office of Compliance Inspections and Examinations released its 2014 Examination Priorities for its...
View ArticleIM Division Has “Enhanced” Exam Unit
The SEC’s Division of Investment Management is working on two ways to make its Risk and Examinations Office effective. http://www.sec.gov/News/Speech/Detail/Speech/1370540048684#.Uml5uBAWkoo....
View ArticleWhat Is Big Brother Focused On In 2015
It is that time of year again. The SEC Office of Compliance and Inspection (OCIE) has announced its examination priorities for 2015. Knowing what these priorities are will help firms gauge their...
View ArticleSo What Does The SEC Think About Cybersecurity
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors. This guidance is equally instructive for...
View ArticleWho wants some advice regarding cyber-threats?
A recent article in Onwallstreet.com highlighted certain areas of focus for investment advisors/broker-dealers when it comes to addressing cyber-threats. The article focused on four areas of...
View ArticleWho wants more reasons to focus on data security
The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were: Have a strong password, keep it secure...
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