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    paytoplay

    sec

    time 4 minute read

    Two RIAs Pay The Price For Violating The Pay-To-Play Rule

    Even if they are disinterested in politics, registered investment advisers (“RIA”) must be aware of...
    SEC-1-1

    sec

    time 3 minute read

    Risk Alert Warns RIAs and Broker-Dealers About Compliance Issues Involving Regulation S-P Privacy Notices and Safeguard Policies

    Regulation S-P is the SEC’s primary rule pertaining to the privacy notices and safeguard policies...
    Regulation-d

    BD

    time 3 minute read

    Reg. D and To “BD” Or Not To “BD”

    Regulation D, or Reg D as it’s commonly called, can be a benefit or a curse depending on who is...
    sec-2

    sec

    time 4 minute read

    SEC Won’t Tolerate RIA’s Indifference To Compliance

    A recent enforcement action demonstrates that the SEC will not ignore compliance violations,...
    DC Circuit Reinforces Importance of Conflicts Disclosure for RIAs

    investment adviser

    time 6 minute read

    DC Circuit Reinforces Importance Of Conflicts Disclosure For RIAs

    By Craig Moreshead & Rita Tholt
    Gavel-money

    broker dealer

    time 2 minute read

    Broker-Dealer/Investment Advisor Fined $100,000 for Failing To Protect Private Client Information

    The Massachusetts Securities Division recently issued a consent order accepting an offer of...

    sec

    time 3 minute read

    SEC Issues Risk Alert Regarding Privacy of Nonpublic Customer Information

    On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a...
    sec-2

    sec

    time 2 minute read

    The SEC Charged An RIA and Its Former COO/CCO With Defrauding A Client

    SEC Action: In March 2019, the SEC found that an RIA and its former COO/CCO manipulated the auction...
    alert

    Regulatory Compliance

    time 2 minute read

    Electronic Messaging – New Types, New Guidance – Are You Prepared?

    On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”)...

    Two RIAs Pay The Price For Violating The Pay-To-Play Rule

    Les Abromovitz | May 22, 2019 11:41:40 AM

    Risk Alert Warns RIAs and Broker-Dealers About Compliance Issues Involving Regulation S-P Privacy Notices and Safeguard Policies

    Les Abromovitz | May 22, 2019 11:33:08 AM

    Reg. D and To “BD” Or Not To “BD”

    Laura Crosby-Brown | May 21, 2019 5:18:08 PM

    SEC Won’t Tolerate RIA’s Indifference To Compliance

    Les Abromovitz | May 21, 2019 5:07:18 PM

    DC Circuit Reinforces Importance Of Conflicts Disclosure For RIAs

    Craig Moreshead | May 20, 2019 4:19:22 PM

    Broker-Dealer/Investment Advisor Fined $100,000 for Failing To Protect Private Client Information

    Kerry Rider | May 6, 2019 3:09:55 PM

    SEC Issues Risk Alert Regarding Privacy of Nonpublic Customer Information

    Kerry Rider | Apr 18, 2019 2:59:13 PM

    The SEC Charged An RIA and Its Former COO/CCO With Defrauding A Client

    Douglas Kamin | Apr 18, 2019 10:35:49 AM

    Electronic Messaging – New Types, New Guidance – Are You Prepared?

    Myles Blechner | Dec 31, 2018 1:38:19 PM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.