:
Updated:
SEC Announces Examination Priorities for 2025
:
Updated:
Advisers Who Did Not File 13F Reports Face SEC Scrutiny
:
Updated:
SEC Announces Enforcement Activity Under New Marketing Rule
:
Updated:
FinCEN Adopts Rules AML Rules for Investment Advisers
:
Updated:
State-Registered RIAs Preparing for Compliance with the Corporate Transparency Act
:
Updated:
Investment Adviser Fined and Ordered to Deregister for Fraud and Failure to Produce Records to SEC
:
Updated:
First Circuit Ruling Gives SEC Victory in Long Fought Case
:
Updated:
SEC Adopts Final Rule Amending Proxy Voting Reporting Requirements
:
Updated:
FTC Announces Changes to Ban Noncompete Provisions
:
Updated:
SEC Fines 5 RIAs Under New Marketing Rule
:
Updated:
Investment Advisers’ May Have New AML Obligations Under FinCEN Proposed Rule
:
Updated:
DOL Proposes Amendments to PTE 2020-02
:
Updated:
DOL Proposes Amendments to Definition of Investment Advice Fiduciary
:
Updated:
SEC Announces Enforcement Results for 2023
:
Updated:
SEC Announces Examination Priorities for 2024
:
Updated:
SEC Fines 9 RIAs for Marketing Rule Violations
:
Updated:
SEC Provides Details on RIA Examination Program and Process
:
Updated:
SEC Fines Adviser Under New Marketing Rule
:
Updated:
SEC Proposes Amendments to the “Internet Adviser” Basis for SEC Registration
:
Updated:
SEC Enforcement Case Highlights Pitfalls Of Private Fund Advisory Fees
:
Updated:
DOL Drops Appeal of Court Ruling Partially Vacating its PTE 2020-02 Guidance
:
Updated:
DOL PTE 2020-02 Annual Retrospective Review Deadline Approaching
:
Updated:
SEC Announces What to Expect for Newly Registered Investment Advisers
:
Updated:
What to Expect: SEC Announces Examination Priorities for 2023
:
Updated:
SEC Settles Charges Against RIA for Failure to Review Wrap Fee Programs
:
Updated:
SEC Announces Enforcement Action Against Investment Adviser for Custody Violations
:
Updated:
SEC Enforcement Case Highlights Importance of Conflict of Interest Disclosure
:
Updated:
Investment Advisers and the Annual Updating Amendment Process
:
Updated:
SEC Announces Enforcement Action for Compliance Policies and Procedures Failures
:
Updated:
The Invest Georgia Exemption and Intrastate Capital Formation (Part 2)
:
Updated:
The Invest Georgia Exemption and Intrastate Capital Formation (Part 1)
:
Updated:
SEC Proposes Rule on Third Party Service Providers
:
Updated:
SEC Announces Enforcement Actions Concerning Electronic Records
:
Updated:
SEC Announces Examinations Under New Marketing Rule
:
Updated:
SEC Warns Broker Dealers and Investment Advisers About Conflicts of Interest Related to Compensation Incentives
:
Updated:
Colorado Releases Guidance for Financial Planners
:
Updated:
SEC Fines Investment Advisers for Misleading Robo-Adviser Clients About Hidden Fees
:
Updated:
SEC Releases Staff Bulletin for Account Recommendations
:
Updated:
SEC Files First Regulation Best Interest Enforcement Case
:
Updated:
Rollover Disclosure & Documentation Requirements to be Enforced Beginning July 1, 2022
:
Updated:
SEC Issues Risk Alert Regarding Investment Adviser MNPI Compliance Issues
:
Updated:
SEC Releases 2022 Examination Priorities
:
Updated:
RIA Advertising Rules May Impact New Client Presentations
:
Updated:
SEC Fines Investment Adviser Over the Use of Hedge Clause in Advisory Agreement
:
Updated:
NSCP Proposes Regulatory Guidance Regarding CCO Liability
:
Updated:
SEC Releases Observations from Examinations Relating to Advisory Fees
:
Updated:
Department of Labor Extends PTE 2020-02 Temporary Enforcement Policy
:
Updated:
States Continue to Adopt Laws to Help RIAs Protect Vulnerable Adults
:
Updated:
SEC Fines Investment Adviser Over Variable Representative Compensation Disclosures
:
Updated:
New SEC Cybersecurity Enforcement Case
:
Updated:
FINRA Withdraws Expungement Rule Proposals
:
Updated:
New Investment Adviser Marketing Rule Relaxes Restrictions on Use of Testimonials
:
Updated:
SEC Announces 2021 Examination Priorities
:
Updated:
Robinhood’s Practices Violate Best Interest Standard, Per State Regulator
:
Updated:
Future of New DOL Fiduciary Rule Uncertain
:
Updated:
Exchange-Traded Product Probe Results in Fines for Investment Advisory Firms
:
Updated:
SEC Multi-Branch Initiative Results in Branch Office Risk Alert
:
Updated:
In Defense of Re- Re-locating to Georgia
:
Updated:
SEC Modernizes Marketing and Solicitation Rules
:
Updated:
Growing RIAs Beware: SEC Issues Risk Alert Relating to Compliance Rule Failures
:
Updated:
SEC Examination Director Discusses Importance of Empowering the CCO
:
Updated:
Possible Cognitive Decline of Investment Advisers Underscores Need for Succession Plan, Training
:
Updated:
SEC Updates Form CRS Disciplinary Guidance
:
Updated:
Cybersecurity: OCIE Warns Against Credential Stuffing
:
Updated:
SEC Amends Proxy Rule and Issues Supplemental Guidance to Investment Advisers
:
Updated:
SEC Enforcement Continues to Sanction RIAs Over Excessive Fees
:
Updated:
SEC Adds RIAs to Definition of “Accredited Investor,” Adopts Other Changes
:
Updated:
US Supreme Court Disgorgement Ruling Leaves Open Questions
:
Updated:
SEC Signals Ransomware Risk to Investment Advisers is High
:
Updated:
DOL Reinstates Investment Adviser Fiduciary Definition and Proposes New Rules
:
Updated:
SEC Issues Risk Alert to Private Fund Advisers, Part 2
:
Updated:
Investment Advisers to Private Funds Urged to Review SEC Risk Alert
:
Updated:
Recent Merrill Lynch Scenario Underscores Need to Avoid Unnecessary Mutual Fund Fees
:
Updated:
Investment Adviser Touting COVID-19 Investments Sued By SEC
:
Updated:
SEC Provides Form CRS Guidance and Issues RIA Examination Risk Alert
:
Updated:
SBA Extends Safe Harbor for Return of PPP Loans and Signals Further Guidance
:
Updated:
SBA and SEC Add Guidance on Paycheck Protection Program Loans
:
Updated:
SEC Publishes Risk Alerts Relating to Reg BI and Form CRS
:
Updated:
Wells Fargo Settles Enforcement Case Over Unsuitable ETF Recommendations
:
Updated:
Investor Losses from Oil Pricing War Could Trigger FINRA and SEC Exam Scrutiny
:
Updated:
SEC Issues Observations on “Cybersecurity and Resiliency”
:
Updated:
Courts Hear Second Constitutional Challenge to SEC Administrative Enforcement Proceedings
:
Updated:
Robo-Advisers Included Among SEC Examination Priorities
:
Updated:
SEC Announces 2020 Examination Priorities
:
Updated:
Supreme Court Refuses to Consider Unsuccessful Pay-To-Play Challenge
:
Updated:
Text and Chat Messages Key in Hiding Forex Traders Bid-Rigging Scheme
:
Updated:
SEC Proxy Guidance Questioned by Investor Groups
:
Updated:
SEC Issues Clarifying Guidance on New Form CRS
:
Updated:
Supreme Court and Congress Weigh-in on Future of SEC Disgorgement
:
Updated:
RIAs Mull SEC’s Proposed Changes to Cash Solicitation Rule
:
Updated:
SEC Releases Proposal to Revamp RIA Advertising and Solicitation Rules
:
Updated:
South Carolina Adopts New Private Fund Adviser Exemption
:
Updated:
SEC Wins Judgment Against RIA and Permanently Bars its Principal for “Cherry-Picking” Scheme
:
Updated:
SEC Announces $37.9 Million Settlement with Two RIAs over Conflicts of Interest Violations
:
Updated:
Eight States Sue the SEC in an Effort to Overturn Reg BI
:
Updated:
OCIE Publishes New Compliance Risk Alert for RIAs Addressing Trading Practices
:
Updated:
SEC Publishes New Guidance for SEC-Registered Advisers on Meeting Their Proxy Voting Obligations
:
Updated:
SEC Sues Large RIA for Fraud in Latest Mutual Fund Revenue Sharing Case
:
Updated:
SEC Reaffirms and Clarifies the Meaning of an Investment Adviser’s Fiduciary Duty
:
Updated:
SEC Issues “Concept Release” Seeking Public Comment on Potential Overhaul of Commission’s Securities Registration Exemptions
:
Updated:
New OCIE Risk Alert Warns Advisers of Compliance Pitfalls in Hiring Individuals with Disciplinary Histories
:
Updated:
Chairman Clayton Announces New SEC Policy for Granting Disqualification Waivers
:
Updated:
Massachusetts Adopts New Rules Mandating Additional Written Fee Disclosure by RIAs
:
Updated:
SEC Adopts Long-Awaited Regulation Best Interest and Amendments to Form ADV
:
Updated:
State Securities Regulators’ Association Adopts Model Information Security Rule for RIAs
:
Updated:
New OCIE Risk Alert Urges Advisers to Review Their Data Security Procedures
:
Updated:
Appeals Court Ruling in Case Involving Inadequate Disclosure by RIA May Have Significant Impact on Future SEC Enforcement Proceedings
:
Updated:
SEC Commissioner Fears that Non-Public Guidance from Agency Staffers May Amount to “Secret Law”
:
Updated:
SEC Identifies Common Compliance Issues with Reg S-P Privacy Notices and Safeguarding Policies
:
Updated:
SEC Charges Adviser and its COO with Fraud for Orchestrating Sham Cross Trade between Clients
:
Updated:
Parker MacIntyre Co-Sponsors Financial Education and Empowerment Workshop for Women
:
Updated:
Firm’s Failure to Act on Numerous Compliance “Red Flags” Results in $250,000 Penalty and Censure by SEC
:
Updated:
SEC Solicits “Dialogue” with Public on Custody Rule Implications Raised by Crypto-Assets
:
Updated:
SEC Case Against Wells Fargo Adviser Highlights Need for Supervision of Account Statements Sent to Clients
:
Updated:
Advisers Encouraged to Assess Use of New Electronic Messaging Technologies as part of Annual Compliance Review Process
:
Updated:
Georgia Commissioner of Securities Proposes Amendments to Broker-Dealer and Investment Adviser Examination Requirements to Incorporate FINRA SIE Exam
:
Updated:
FINRA Issues Warning of Phishing Scheme Targeting Compliance Personnel
:
Updated:
FINRA Invites Member Firms to Self-Report Potential Share Class Selection Violations
:
Updated:
First Quarter Brings Code of Ethics Reporting Into Focus
:
Updated:
What Firms Can Expect Now That the SEC is Back at Work
:
Updated:
Robo-Adviser Settles Charges with SEC for Making Misleading Statements
:
Updated:
SEC Effectively Closed as Federal Shutdown Approaches its Fifth Week (But Some Filing Platforms Remain Fully Operable)
:
Updated:
SEC Settles Charges with Robo Adviser for Making False Statements About Investment Performance
:
Updated:
SEC Investigating Investment Advisers That Did Not Self Report Under 12b-1 Initiative
:
Updated:
DOL Proposal Seeks to Expand Use of Multiple-Employer Plans
:
Updated:
South Carolina Court of Appeals Vacates Securities Commission Sanction for Lack of Due Process
:
Updated:
Recent OCIE Risk Alert Warns Advisers to Ensure Compliance with Cash Solicitation Rule
:
Updated:
Recent SEC Order Clarifies CCO and Other Firm Manager Liability
:
Updated:
Overview of State-Registered Investment Advisers and Current Regulatory Issues, Part 2
:
Updated:
Overview of State-Registered Investment Advisers and Current Regulatory Issues
:
Updated:
Former Wells Fargo Adviser Obtains Class Certification in Deferred Compensation Suit Against Wells Fargo
:
Updated:
SEC Proposes Rule Changes Regarding Disclosures About Variable Annuities and Variable Life Insurance Contracts
:
Updated:
FINRA Regulatory Notice Announces Commencement of 2019 Renewal Program
:
Updated:
Transamerica Entities Settle Charges with SEC Over Errors in Quantitative Investment Models
:
Updated:
SEC Adopts Temporary Rules to Extend Filing Deadlines in Response to Hurricane Michael
:
Updated:
SEC Settles Charges with Former Nomura Managing Director For Securities Fraud
:
Updated:
Investment Adviser Agrees to Pay $1.9 Million Penalty for Misleading Statements in Advertising
:
Updated:
Do U.S. Securities Laws Apply to Your Transaction?
:
Updated:
Oregon Implements Temporary Rules Regarding Proof of E&O Insurance for Advisers
:
Updated:
FINRA Pay-to-Play Rule Applies to Capital Acquisition Brokers
:
Updated:
SEC Publishes Risk Alert Detailing the Most Common Advisory Fee and Expense Compliance Deficiencies
:
Updated:
SEC Settles Charges with Three Investment Advisers Over Violations of Pay-to-Play Rule
:
Updated:
SEC Settles Charges with Investment Advisers and Representatives Over Use of Testimonials in Social Media
:
Updated:
Wells Fargo Settles Charges with SEC For Misconduct in Sale of Market-Linked Investments
:
Updated:
SEC Settles Charges with Investment Adviser for Failing to Disclose Conflicts of Interest
:
Updated:
SEC Settles Charges With 13 Private Fund Advisers Over Filing Deficiencies
:
Updated:
SEC No-Action Letter Addresses Financial Exploitation of Clients
:
Updated:
SEC Directors Stress Importance of Budget Request to Expand and Improve Investment Adviser Examinations
:
Updated:
SEC’s 12b-1 Self-Reporting Deadline Looms
:
Updated:
Lender’s $4.5 Million of Promissory Notes Were Unregistered Securities
:
Updated:
Investment Advisers Cautioned not to Use Client Usernames and Passwords to Access Accounts
:
Updated:
Texas Prioritizes Regulation of Cryptocurrencies
:
Updated:
FinCEN Publishes Frequently Asked Questions Relating to New Customer Due Diligence Rules
:
Updated:
SEC Weighs in on FINRA’s Proposed Rule Amendments Pertaining to Expungement Procedures
:
Updated:
SEC Retail Strategy Task Force Working to Combat Misconduct Involving Retail Investors
:
Updated:
Investment Adviser Settles Charges with the SEC Over Cherry-Picking Scheme
:
Updated:
SEC Continues to Pursue Municipal Advisor Examinations
:
Updated:
FINRA Seeks to Streamline and Strengthen Outside Business Activities and Private Securities Transactions Rules
:
Updated:
Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
:
Updated:
SEC Fines Adviser Who Obtained Misleading Morningstar Rating
:
Updated:
SEC to Host National Compliance Outreach Seminar in April
:
Updated:
An SEC Commissioner Hears and Heeds the Call to Rationalize the Private Placement Broker (“Finder”) Industry
:
Updated:
Form ADV Amendments Vexing Some Advisers
:
Updated:
OCIE Publishes its 2018 Examination Priorities
:
Updated:
Advertising Remains a Concern to the SEC’s RIA Examination Staff
:
Updated:
Investment Adviser Settles Charges with the SEC for Selling Investments That Were Not in Compliance with Georgia Law
:
Updated:
FINRA Publishes 2018 Annual Regulatory and Examination Priorities Letter
:
Updated:
FINRA to Prioritize Enforcement in 2018
:
Updated:
SEC Enforcement Division Releases Annual Report and Stress Priorities
:
Updated:
DOL Approves 18-Month Extension of Fiduciary Rule Transition Period
:
Updated:
Maryland Amends its Securities Act
:
Updated:
South Dakota Proposes Rules Governing Federal Regulation Crowdfunding and Regulation A Notice Filings
:
Updated:
Iowa Adopts Amendments Implementing Notice Filings for Federal Crowdfunding and Regulation A Offerings
:
Updated:
Kansas Investment Adviser’s Recommendation of Nontraditional ETFs Deemed Unsuitable for Client Seeking Income and Growth
:
Updated:
SEC Settles Charges with Investment Adviser for Unauthorized Allocation of Expenses
:
Updated:
Morgan Stanley Announces Withdrawal From Broker Protocol
:
Updated:
New SEC Co-Directors of Enforcement Identify Cyber Threats as the Greatest Threats to Financial Markets
:
Updated:
SEC Charges Investment Adviser with Distributing False Account Statements to Investors
:
Updated:
Crowdfunding Portals – If You Build It, Will They Come?
:
Updated:
FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedures
:
Updated:
Parker MacIntyre Publishes Whitepaper on Private Investment Fund Formation
:
Updated:
DOL Proposes Additional Extension of Fiduciary Rule Transition Period
:
Updated:
SEC Settles Charges with Investment Adviser Over Insufficient Disclosure of Fees
:
Updated:
SEC Charges Investment Adviser with Misappropriating $2.8 Million From her Clients
:
Updated:
SEC Charges Investment Adviser With Defrauding Clients Regarding Advisory Fees
:
Updated:
Georgia Securities Commissioner Holds Second “Fairness Hearing” in Recent M&A Deal
:
Updated:
Court Orders Hedge Fund Advisers to Pay $12.9 Million in SEC Fraud Case
:
Updated:
Recent DOL Action: Proposed Delay of Fiduciary Rule and New Transition Period Guidance
:
Updated:
Date Drawing Near for Compliance with SEC Amendments to Form ADV and Recordkeeping Rules
:
Updated:
New Wyoming Investment Adviser Registration Law Impacts SEC Registration Requirements
:
Updated:
SEC Chairman Delivers Speech Affirming Agency’s Role in Facilitating Capital Formation
:
Updated:
Georgia Amends State “Crowdfunding” Rule to Conform to New SEC Rule 147A
:
Updated:
Nevada Enacts Statutory Amendments Creating Fiduciary Obligations for Investment Advisers and Broker-Dealers
:
Updated:
SEC Charges Broker-Dealer for Violations Relating to Suspicious Activity Report Filings
:
Updated:
SEC Charges Investment Adviser for Overbilling Clients to Pay Personal Expenses
:
Updated:
SEC Proposes Amendments to Investment Advisers Act Regarding Small Business Investment Companies
:
Updated:
Supreme Court Rules that SEC’s Ability to Seek Disgorgement is Subject to a Five-Year Statute of Limitations
:
Updated:
SEC Charges Options Trading Instructor with Defrauding Investors in Private Funds
:
Updated:
SEC’s Office of Compliance Inspections and Examinations Publishes Cybersecurity Alert Following Ransomware Attack
:
Updated:
Private Placement Brokers Await Attention by SEC
:
Updated:
SEC Adopts JOBS Act Inflation Adjustments for Title III Crowdfunding and Title I Emerging Growth Companies
:
Updated:
On One-Year Anniversary of Reg CF, JOBS Act Author Urges Significant Revisions
:
Updated:
Firm and CEO Settle Charges with SEC for Ponzi-like Plot Relating to Life Settlements
:
Updated:
SEC Charges Investment Adviser and his Advisory Firm with Making Fraudulent Misrepresentations to Prospective Investors and Clients
:
Updated:
SEC Settles Charges with Barclays Capital for Overcharging Clients
:
Updated:
Supreme Court Expected to Rule on Case Involving Potential Restrictions on SEC Disgorgement Remedy
:
Updated:
DOL Action on Fiduciary Rule Makes Important Changes
:
Updated:
FINRA Updates Sanction Guidelines
:
Updated:
SEC Charges 27 Firms and Individuals With Deceptive Promotion of Stock
:
Updated:
SEC Settles Charges with Investment Adviser for Failure to Disclose Conflicts of Interest Stemming From Revenue Sharing Arrangement
:
Updated:
Third-Party Adviser Exams: A Fleeting Possibility
:
Updated:
Investment Adviser Charged With Misappropriating Client Funds
:
Updated:
FINRA Requests Comments on Rule Amendment Permitting Use of Investment-Strategy Projections
:
Updated:
SEC Addresses Two Scenarios That May Result in RIA Custody: SLOAs and Custodial Contract Authority
:
Updated:
SEC Identifies the Five Most Frequent Examination Issues for Investment Advisers
:
Updated:
States Begin to Adjust Exemptions as Effective Date for New Rule 147A Draws Near
:
Updated:
Arizona Adviser’s Outside Business Activity Constituted Unlicensed Sale of Securities
:
Updated:
SEC Charges Investment Advisory Firm and its Owner for Cherry-Picking Scheme
:
Updated:
SEC Settles Charges with 10 Investment Advisory Firms for Violating Pay-to-Play Rules
:
Updated:
DOL Issues Additional Guidance as Enforcement Date of Fiduciary Rule Approaches
:
Updated:
SEC Office of Compliance Inspections and Examinations Publishes its 2017 Examination Priorities
:
Updated:
SEC Sanctions Investment Adviser for Breaking Promises to Correct Deficiencies
:
Updated:
FINRA Releases Annual Regulatory and Examination Priorities Letter, Part I
:
Updated:
Asset Management Company and its Owner Charged With Fraud
:
Updated:
FINRA Implements New Rule Requiring “Educational Communication”
:
Updated:
Wells Fargo Seeks to Compel Arbitration to Prevent Fake Account Lawsuits
:
Updated:
FINRA Charges Oppenheimer & Co. for Multiple Compliance Failures
:
Updated:
SEC Adopts Final Rules Amending Intrastate and Small Offering Exemptions
:
Updated:
Federal Court Denies Motion to Block DOL Fiduciary Rule
:
Updated:
Nebraska Proposes Amendments to its Investment Adviser, Broker Dealer and Securities Registration Rules
:
Updated:
FINRA Proposes Rule Designed to Combat Financial Exploitation of Seniors and Other “Specified Adults”
:
Updated:
FINRA Publishes Regulatory Notice Clarifying its Capital Acquisition Broker Rules and Sets Effective Date for Implementation
:
Updated:
Parker MacIntyre Features Guest Blogger Thomas W. Zagorsky
:
Updated:
DOL Issues First Set of Rolling FAQ Guidance Regarding New Fiduciary Rule
:
Updated:
SEC Approves FINRA’s Capital Acquisition Broker Rules (“CAB Rules”)
:
Updated:
Court Reverses Illinois Department of Securities’ Administrative Order Revoking Investment Adviser’s Registration
:
Updated:
NASAA Adopts Model Legislation or Regulation to Protect Vulnerable Adults From Financial Exploitation
:
Updated:
Parker MacIntyre Hosts Seminar to Address Issues Faced by Registered Investment Advisers
:
Updated:
Massachusetts Issues Regulatory Guidance for State Investment Advisers Who Use Third-Party Robo-Advisers
:
Updated:
Louisiana Adopts Amendments to Written Examination Requirements for Investment Adviser Representatives
:
Updated:
Investment Advisers Charged for Failure to Disclose Conflicts of Interest Arising From Receipt of Forgivable Loans
:
Updated:
SEC Continues Increased Focus on RIA Performance Advertising
:
Updated:
Court Affirms SEC’s Sanction of Investment Adviser Over Fraudulent Performance Advertising
:
Updated:
FINRA Proposes Changes to Gifts and Gratuities Rule
:
Updated:
Performance-Based Fee Threshold Will Change Effective August 15, 2016
:
Updated:
Private Equity Fund Adviser Sanctioned for Acting as Unregistered Broker-Dealer
:
Updated:
SEC Fines Broker-Dealer for Failing to Protect Confidential Client Information
:
Updated:
SEC Proposes Business Continuity and Transition Plan Rule for RIAs
:
Updated:
SEC Charges Private Fund Administrator with Failure to Satisfy Gatekeeper Responsibilities
:
Updated:
Massachusetts Issues Policy Statement Questioning Robo-Advisers
:
Updated:
SEC Charges NC Investment Adviser Selling Real Estate-Related Investments with Fraud and Breach of Fiduciary Duty
:
Updated:
FINRA Suspends and Fines Adviser for Altering CRM Record
:
Updated:
SEC Issues Report on Review of Definition of “Accredited Investor”
:
Updated:
Recent SEC Enforcement Actions Signal Shift Towards Closer Scrutiny on Chief Compliance Officers
:
Updated:
SEC Issues No-Action Letter Lessening Custody Rule Requirements for Sub-Advisers
:
Updated:
Investment Adviser Accused of Raising Operating Capital From Clients by False and Misleading Statements
:
Updated:
SEC Issues Investor Bulletin on Performance Claims in Advertising
:
Updated:
SEC Fines, Suspends Accounting Firm Over Deficient Audits
:
Updated:
New Registration Requirements for Developers & Supervisors of Algorithmic Trading Strategies
:
Updated:
SEC Fines Investment Adviser Over Lack of Heightened Supervision
:
Updated:
FINRA Provides Effective Practices for Digital Investment Advice
:
Updated:
Proposed Rule 147 Still in Limbo
:
Updated:
FINRA Sanctions Personnel for Compliance Failures
:
Updated:
DOL Releases Final Fiduciary Rule
:
Updated:
SEC Enforcement Case Arises From “Free Dinner” Seminar Fraud
:
Updated:
SEC Charges Georgia Based Fund Investment Adviser With Front-Running and Other Fraud
:
Updated:
SEC Creates Office of Risk and Strategy
:
Updated:
CFPB Issues First Cybersecurity Order Against Payment Platform for Deceptive Practices
:
Updated:
SEC Charges Fund Manager with Fraudulently Misleading Investors
:
Updated:
Final DOL Fiduciary Rule Predicted to Significantly Alter Sale of Annuity Products
:
Updated:
SEC Bars Adviser for Misrepresenting Fund Performance
:
Updated:
FINRA Files Revised Pay-to-Play Rule Proposal with SEC
:
Updated:
SEC Releases Examination Priorities for 2016
:
Updated:
SEC Publishes Guidance on Avoiding Mischaracterization of 12b-1 Fees
:
Updated:
Hedge Fund Manager Settles Charges with SEC for Overcharging on Fees and Overvaluing Assets
:
Updated:
Common Mistakes to Avoid in Form ADV Annual Updates
:
Updated:
SEC Clarifies RIA Performance Advertising Obligations: The Virtus & Alpha Fiduciary Matters
:
Updated:
SEC Clarifies RIA Performance Advertising Obligations: The Lucia Matter
:
Updated:
SEC Targets NY-Based RIA for Failure to Disclose Conflicts of Interest
:
Updated:
Texas Securities Board Approves Advisory Payments to Retiring Advisers
:
Updated:
FinCEN Proposes AML Requirements for RIAs
:
Updated:
NASAA adopts model rule concerning business continuity and disaster planning for Investment Advisers
:
Updated:
Investment Adviser Charged with Misleading SEC Regarding Examination
:
Updated:
SEC Announces Cybersecurity Enforcement Action Against RIA
:
Updated:
Aging Clientele and the Role of the Registered Investment Adviser
:
Updated:
State Investment Adviser and Securities Regulators Hold Annual Conference
:
Updated:
SEC Judge Rules on the Extent of Liability for Compliance Officers
:
Updated:
OCIE Announces 2015 Priorities in Second Round of Cybersecurity Examinations: New Risks for Securities Firms in Cybersecurity Compliance
:
Updated:
Texas Proposes Balance Sheet Requirement for Investment Advisers
:
Updated:
SEC Enforcement Action Underscores Importance Of Gift Policies
:
Updated:
Investment Adviser Settles Charges of Failure to Disclose Conflicts of Interest
:
Updated:
New Amendments to Regulation A
:
Updated:
SEC Enforcement Actions Against Corporate Officers – Targeting or Responsible Monitoring?
:
Updated:
FINRA Amendments to Relax Filing Rules Governing Retail Communications
:
Updated:
Proposed SEC Amendments to Form ADV and Rules Under the Investment Advisers Act
:
Updated:
Investment Adviser and Principals Sanctioned for Compliance Failures
:
Updated:
SEC Issues Guidance Update on Cybersecurity
:
Updated:
Questions Surround Impact Of Labor Department Fiducuary Rule for Financial Advisers
:
Updated:
LPL Financial Ordered by FINRA to Pay $11.7 Million
:
Updated:
Delaware Adopts Private Fund Adviser Exemption
:
Updated:
SEC Vows To Be Aggressive in 2015
:
Updated:
SEC Charges Three Investment Adviser Firms with Improper Registration in Wyoming
:
Updated:
New “Invest Tennessee Exemption” Takes Effect
:
Updated:
NASAA Issues Fact & Fiction Advisory on Third-Party Custodians of Self-Directed IRAs
:
Updated:
SEC Plans to Increase Focus on Asset Managers in 2015
:
Updated:
New Development in Federal M&A Broker Legislation
:
Updated:
How NASAA’s Proposed Model Rule Exempting M&A Brokers Stacks Up Against Other Efforts
:
Updated:
Michigan: First State to Create Alternative Market for Private Crowdfunding
:
Updated:
Non-Registered Crowdfunding Site Reaches Settlement with SEC
:
Updated:
NASAA Unveils Electronic Filing Depository
:
Updated:
Private Placement Brokers Should Be Legalized Along with M&A Brokers
:
Updated:
SEC to Conduct Presence Exams for Never-Before Examined Investment Advisers in 2015
:
Updated:
Investment Adviser Settles with SEC Over False Advertising Claims
:
Updated:
Investment Advisers and Social Media
:
Updated:
SEC to Focus on Variable Annuities and Alternative Mutual Funds in 2015
:
Updated:
Texas Charges RIA with Using Misleading Brochure and Advertisements
:
Updated:
SEC Concerns Regarding Wrap Fee Programs
:
Updated:
SEC Enforcement Action Against Former Wells Fargo Advisor for Altering Requested Documents
:
Updated:
SEC Institutes Charges Against Fund Manager for Custody Rule Violations
:
Updated:
KENTUCKY COURT HOLDS THAT INVESTMENT MANAGER IS “INVESTMENT ADVISER” UNDER KENTUCKY SECURITIES ACT
:
Updated:
Is your firm prepared? October is National Cybersecurity Awareness Month
:
Updated:
New Indiana Crowdfunding Act Exemptions
:
Updated:
SEC fines RIA for failure to disclosure conflicts of interest on Form ADV
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Updated:
Alabama Joins the Crowd: State Crowdfunding Exemption
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State Private Fund Adviser Exemption Update
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SEC Approves FINRA Self-Trading Rule
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FINRA Addressing Self-Trading in New Rule
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Target Date Mutual Funds: Proposed Rules and Recommendations
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Updated:
SEC Investment Advisor 2014 Compliance Outreach Program
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SEC Announces Plans to Examine Never-Before Examined RIAs
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Public Solicitations on Rule 506 offerings
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SEC Enforcement Actions in 2013
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SEC Proposes More Rules and Oversight for Public Rule 506 Offerings
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Trust, but Verify: Public 506 Offerings Finally Approved, With Conditions
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California Court Decision May Allow Brokers to Expunge Their Records More Easily
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States Report RIA Enforcement Cases Doubled in 2011
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Bachus SRO Bill Likely Dead This Year; Waters Introduces User Fee proposal
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User Fee Supporters Gaining Momentum
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FINRA Issues Regulatory Notice Clarifying New Suitability Rule
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SEC Approves FINRA Rule Relating to Broker-Dealer Obligations in Private Placements
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Rhode Island Adopts Private Fund Exemption
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FSI Supports FINRA as Adviser SRO
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GAO Claims SEC Oversight of FINRA is Insufficient; SRO Hearing is This Week
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SEC Commissioner Calls for Greater Cooperation Between State and Federal Securities Regulators
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POGO Writes Letter to Congress Opposing SRO Bill
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Missouri Securities Division Issues Advisory Release on Crowdfunding
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AICPA Urges Congress to Maintain SEC Investment Adviser Oversight
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FINRA Proposed Rule: Expungement Procedures for Unnamed Persons
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FINRA Releases Cost Estimate to Become Investment Adviser SRO
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Insurance Agent Convicted of Selling Complex Annuity to Elderly Woman
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Table of Private Fund Exemptions of Multiple States
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NASAA Annual Public Policy Conference to Highlight JOBS Act and Social Media
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Study Shows Women More Likely to Make Referrals Than Men
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Colorado Adopts Private Fund Adviser Exemption
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Offshore Hedge Funds Should Note New Test for Securities Violations
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SRO Redraft Bill Reintroduced
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SEC Accepting Public Comments for JOBS Act Rulemaking
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States Set Time-Table for Mid-Sized Adviser Switch
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More Advisers Using Social Media in 2012
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Fewer Firms Make Switch to State Oversight Than Expected
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Updated:
Florida Law Increases Penalties for Selling Unregistered Securities
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Update: Georgia Adopts Proposed Rule Amendments
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JOBS Act: General Solicitation Provision to be a Boom for Hedge Funds
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SEC Has Additional Rulemaking Deadlines with Passage of JOBS Act
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Colorado Refuses to Issue No-Action Letter to Financial Instructor
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Rhode Island Issues Proposed Private Fund Exemption
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President Signs JOBS Act Into Law
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JOBS Act Passes Both Chambers and Will be Sent to President
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Multiple States Create Private Fund Adviser Exemption
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CFTC Initiates Multiple Enforcement Actions to Show Industry Stricter Rules
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IAA Becomes More Outspoken as SRO Bill Redraft Nears
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SEC Increases Examination of Private Equity Industry
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SEC Experts Warn of Possible Enforcement Actions Against CCOs
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FINRA Significantly Increases Number of Sanctions in 2011
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CFTC Adopts Final Amendments to Commodity Pool Operators Exemption Rule
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House of Representatives Pass Crowdfunding Bill for the Second Time in JOBS Act
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SEC Issues Risk Alert to Prevent Unauthorized Trading
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SEC and CFTC Do Not Include Registered Investment Advisers in Proposal to Help Prevent Identity Theft
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Virginia Releases Proposed Rule Amending Its Exemption for Private Fund Advisers
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Industry Opposes Both SEC Proposals to Regulate Money Market Funds
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Obama’s New Proposed Budget Seeks Increased SEC Funding
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Final Rule on Advisers Charging Performance Fees
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The Economist Wants Your Kids Run Over In the Name of Laissez-Faire
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FINRA Warns Firms on High Yield Products
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California Extends Public Comment Date on Its Proposed Private Fund Exemption Rule
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New Registration Requirements for Non-U.S. Advisers
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FINRA Wants Heightened Supervision of Complex Products
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Breakaway Advisers See Financial Benefits
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Georgia Securities Commissioner Proposes Rule Amendments
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SEC Charges Hedge Funds and Individuals In Insider Trading Scheme
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Updated:
SEC Postpones “Fiduciary Duty Rule” Again
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SIFMA To FINRA: Change Punishment for Unpaid Promissory Notes
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FINRA Amends Proposed Social Media Rule
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More Wirehouse Brokers Expected to Leave Firms in 2012
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Updated:
BCG Report Claims FINRA Cost Will Exceed SEC Cost as RIA SRO
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SEC Issues Investment Adviser Risk Alert on Social Media
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New “Invest Georgia Exemption” Helps Small Businesses Raise Capital
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Social Media Scam Artist Shut Down by SEC
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Updated:
Financial Advisors Should Note More Restrictive Accredited Investor Definition
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Updated:
FINRA And SEC To Firms: Improve Branch Office Supervision
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Mid-Sized Advisers Should Have Already Commenced Transition
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Updated:
SEC Hits Mid-Sized RIA’s for Compliance Violations, Signaling Continued Interest
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SEC Snares Hedge Funds Using Risk Analytics
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Updated:
Quant Hedge Fund Halted by SEC Enforcement Action
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Private Fund Reporting Form Approved
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Updated:
Bill Requiring State Adviser SRO Draws Mixed Response
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Regulators Issue Report on Investment Adviser Violations
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Updated:
Georgia SOS Publishes Proposed IA Rules
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Updated:
State Investment Adviser Regulators Hold Forums
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Updated:
Dodd-Frank Registration Requirements Driven By State Law Distinctions
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Updated:
Virginia Adopts Private Adviser Policy Statement
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Updated:
Advisers Act Rules Implementing Dodd-Frank Adopted by SEC
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SEC Defines Family Offices Exempt from RIA Registration
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Updated:
RIA Switch Deadline Still Not Formally Postponed
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Updated:
Hedge Fund Impact of Dodd-Frank Discussed by Paredes
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Updated:
Social Media and the Investment Adviser
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Investment Adviser Trust Eroding
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Updated:
Performance-Based Fee Threshold Increase Sought by SEC in Proposed Order
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Updated:
Custody Rule for States Proposed by NASAA
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Updated:
RIA Switch for Mid-Sized Advisers Delayed by SEC
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Updated:
Georgia Notifies of RIA Switch Deadline Postponement
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Updated:
Florida Urges Dual Registration for RIAs Required to Switch
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Updated:
Departing Advisers Taking More Assets, Study Says
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Updated:
Dodd-Frank’s Impact on Hedge Funds
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Updated:
Georgia Extends RIA De Minimis Exemption
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Updated:
Georgia Excludes Certain RIA Solicitors
RIA Compliance Blog