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3 minute read
On August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a...
5 minute read
SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs
On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationship...
3 minute read
Regulation D, or Reg D as it’s commonly called, can be a benefit or a curse depending on who is...
3 minute read
On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a...
2 minute read
Ask people for a line from the Eagles song “Hotel California” and you can expect, “You can check...
3 minute read
While the FINRA Exam Priorities letter will not be nominated for the Man Booker award or a...