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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...

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THE 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...

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SEC 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...

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IM 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...

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What 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...

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So 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...

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Who 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...

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Who 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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SEC 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...

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THE 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 Article

SEC 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 Article

IM 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 Article

Image may be NSFW.
Clik here to view.

What 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 Article


Image may be NSFW.
Clik here to view.

So 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 Article

Image may be NSFW.
Clik here to view.

Who 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 Article


Image may be NSFW.
Clik here to view.

Who 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 Article
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