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With the signing of the Bipartisan Budget Act of 2015, two popular Social Security claiming strategies have been affected. Going forward “file and suspend” will be severely limited and “restricted…
Robo advisors have taken off from zero to 60 in no time at all and the SEC is trying to figure out how they should regulate them. A recent study…
Just in time for Halloween, will it be a trick or a treat? It’s been over three years in the making but finally on Friday The Securities and Exchange Commission…
Fourteen years ago, when thousands of financial and client records were destroyed in the 9/11 attacks on The World Trade Center, the big worry for the financial services industry was…
On October 16, 2015, the SEC staff published its first Private Funds Statistics Report, reflecting anonymized and aggregated data reported on Form PF. It covers the data collected from the…
One of the questions we are asked frequently is “Who can be our CCO?” So often, with so many people wearing so many hats, the desire to hand the compliance…
Every two years state securities examiners provide sample data from their investment adviser examinations to NASAA. Using that data NASAA recently released a report on common Investment Adviser (“IA”) deficiencies….
Red Oak Compliance Solutions, a full-service compliance consulting firm helping broker-dealers, registered investment advisers, banks, insurance companies, investment companies and hedge funds, will be an exhibitor at the annual FINRA…
A recent comment by the Co-Chief of the SEC Enforcement Division’s Asset Management Unit, Marshall Sprung, should provide a better sense of the urgency and seriousness towards their ongoing push…
In the business world it is common practice for companies to hire 1099 contract labor instead of hiring employees of the company. In most cases employers hire 1099 contract labor…
The Texas Department of Insurance has been busy making insurance agents lives a little easier. Effective 9-1-15, the CE hours for insurance licenses have been reduced to 24 hours per…
We have received numerous questions recently regarding the SEC’s guidance on testimonials. Everyone wants to know how to take advantage of the ability to publish comments about themselves and their…
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