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SEC Denies Bitcoin ETF Proposal For The Second Time - News

Winklevoss Brothers Bitcoin ETF Rejected By SEC Again

Thursday, August 23 2018

News

SEC Denies Bitcoin ETF Proposal For The Second Time

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On July 26, the price of Bitcoin fell 3 percent after the SEC rejected an attempt to create the first... [...]

Wednesday, August 22 2018

IA Compliance News

Why Competent Selection of Outside Advertising Professionals is Critical to Ensuring Your Firms Compliance

Submitted by: Brian Mills, Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission recently instituted five separate settled proceedings against two SEC-registered investment advisers, three investment adviser representatives,... [...]

Thursday, August 9 2018

IA Compliance News

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance... [...]

Tuesday, August 7 2018

News

Crypto Crackdown

Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions In recent months, the Texas State Securities Board (TSSB) has taken a hardline stance against the blockchain-based online transaction systems... [...]

Thursday, July 26 2018

News

Simplifying Compliance for Investment Advisors – An Interview with Cathy Vasilev, Senior Vice President, Red Oak Compliance Solutions

By Matthew Edward Regulations present wealth managers, stockbrokers, and other financial professionals with a complex minefield of rules to maneuver through if they want to properly serve investors. Fortunately, regulatory... [...]

Sunday, July 8 2018

BD Compliance IA Compliance News

FINRA Set to Enhance Public Records Review

Beginning July 9th, FINRA will be launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. This review will be performed with... [...]

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SEC Denies Bitcoin ETF Proposal For The Second Time - News

Winklevoss Brothers Bitcoin ETF Rejected By SEC Again

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Crypto Crackdown

Simplifying Compliance for Investment Advisors – An Interview with Cathy Vasilev, Senior Vice President, Red Oak Compliance Solutions

FINRA Set to Enhance Public Records Review

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