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Will Individual States Require Form CRS Submissions? - Blog

 
Monday, August 31 2020
Blog

Will Individual States Require Form CRS Submissions?

On June 30, 2020, the SEC began the enforcement of Regulation Best Interest (“Reg BI”). This guidance requires all SEC-registered investment advisers and broker-dealers to be in compliance with the... [...]

Blog

Is Your Firm at Risk of a Cyber Attack?

As the country still reels from the effects of the pandemic, the relentless assault of cybercriminals has not slowed. And, with many people continuing to work online from home (66... [...]
Thursday, August 27 2020
Blog

FINRA Issues Update to Non-Cash Compensation Guidance

Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and... [...]
Monday, July 20 2020
Blog

What You Need to Know About Reg BI

As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these... [...]
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