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Regulation, Regulation and More Regulation - Regulatory Alerts

Tuesday, May 30 2023

Regulation, Regulation and More Regulation

The financial services industry is one of the most regulated in the U.S., and all indications show that regulatory oversight will continue to increase. Although most states have yet to... [...]

Monday, September 14 2020

News Regulatory Alerts

SEC Expands Accredited Investor, Qualified Institutional Buyer Definitions

On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who... [...]

Monday, August 31 2020

News Regulatory Alerts

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... [...]

Thursday, August 27 2020

BD Compliance IA Compliance News Regulatory Alerts

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... [...]

Tuesday, May 26 2020

News Regulatory Alerts

Form CRS is Due June 30

For those of us who are working remotely, it can be challenging to remember which day of the week it is – there’s not a lot of differentiation between workdays... [...]

Monday, February 17 2020

Regulatory Alerts

2020 OCIE Priorities

If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may... [...]

Regulation, Regulation and More Regulation - Regulatory Alerts

Regulation, Regulation and More Regulation

SEC Expands Accredited Investor, Qualified Institutional Buyer Definitions

Will Individual States Require Form CRS Submissions?

FINRA Issues Update to Non-Cash Compensation Guidance

Form CRS is Due June 30

2020 OCIE Priorities

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