Amy Watson, Author at Red Oak Compliance Solutions

Wednesday, May 3 2017

Net Capital

Firms are encouraged to self-report issues to regulators when found. These self-reported items are generally resolved more favorably to the firms than they might be if found by the regulators... [...]

Saturday, April 15 2017

BD Compliance News

Proposed Rule Changes for Registration and Continuing Education

As disclosed on a recent FINRA filing of Securities and Exchange Commission (“SEC”) Form 19b–4, there are proposed rule changes filed regarding registration and Continuing Education (“CE”) requirements: To restructure... [...]

Friday, April 14 2017

BD Compliance News

Exploitation of Seniors Leads to New & Amended FINRA Rules

In response to the increased financial exploitation of seniors, the SEC recently approved the adoption of new FINRA Rule 2165: Financial Exploitation of Specified Adults and amendments to FINRA Rule... [...]

Friday, March 24 2017

News

Investment Advisers and Employee Trades

One area of compliance commonly overlooked by many registered investment advisers is that of employee personal trading. In most instances, this is because many registered investment advisers assume they have... [...]

Saturday, March 11 2017

BD Compliance IA Compliance News

The NASAA and the SEC Enter into a MOU Regarding Non-Public Information

On February 17, 2017, the North American Securities Administrators Association (“NASAA”) and the Securities and Exchange Commission (“SEC”) entered into a Memorandum of Understanding (“Memorandum”) regarding the treatment of non-public... [...]

Monday, February 20 2017

IA Compliance News

Investment Advisers and Suitability

Per the SEC, “As an investment adviser, you are a “fiduciary” to your advisory clients.” Most states do not define registered investment advisers as fiduciaries within their statues, but defer... [...]

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Net Capital

Net Capital

Proposed Rule Changes for Registration and Continuing Education

Exploitation of Seniors Leads to New & Amended FINRA Rules

Investment Advisers and Employee Trades

The NASAA and the SEC Enter into a MOU Regarding Non-Public Information

Investment Advisers and Suitability

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