investment advisor

    regulatory

    time 1 minute read

    Regulatory Update: State Regulators Revisit Temporary Relief for Investment Advisor Registrants Affected by the COVID-19 Pandemic

    Several states adopted measures granting temporary relief to investment advisor registrants...

    sec

    time 1 minute read

    Regulatory Update: SEC and State Advisors with NY IARs Must Register Their Representatives in 2021

    Effective February 1, 2021, New York will require Investment Advisor Representatives (IARs) to...

    sec

    time 3 minute read

    SEC Risk Alert: IA and BD Risks During The COVID-19 Pandemic

    On August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a...
    SEC-social-1

    sec

    time 4 minute read

    SEC Moves Forward with New Advertising and Solicitation Rules

    On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...
    fiduciary

    investment advisor

    time 3 minute read

    The Fiduciary Duty Of Investment Advisers - Understanding Its Murky Roots And A Guidepost

    The term “fiduciary” has received great attention in investment-services compliance recently. It...
    SEC-1-1

    compliance

    time 3 minute read

    SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

    On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliance...
    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...
    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,...

    Regulatory Update: State Regulators Revisit Temporary Relief for Investment Advisor Registrants Affected by the COVID-19 Pandemic

    Sarah E. Alderman | Jan 6, 2021 8:33:05 AM

    Regulatory Update: SEC and State Advisors with NY IARs Must Register Their Representatives in 2021

    Kelli Haugh | Dec 16, 2020 7:15:00 AM

    SEC Risk Alert: IA and BD Risks During The COVID-19 Pandemic

    Aileen Farrales | Aug 28, 2020 8:04:40 AM

    SEC Moves Forward with New Advertising and Solicitation Rules

    Les Abromovitz | Dec 30, 2019 10:02:03 AM

    The Fiduciary Duty Of Investment Advisers - Understanding Its Murky Roots And A Guidepost

    Foreside | Sep 11, 2019 2:41:13 PM

    SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

    Douglas Kamin | Sep 9, 2019 9:59:40 AM

    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

    SEC Won’t Tolerate RIA’s Indifference To Compliance

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

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    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.