SEC Greenlights Modern Marketing Rule for IAs
After a nearly year-long comment period, the SEC announced last [...]
18
01, 2021
18
01, 2021
Six Need-to-Know Facts about the AML Act of 2020
The new year rings in the most significant changes in [...]
30
12, 2020
Four Factors for Creating a Successful 2021 CE Budget
As we say goodbye to 2020, we should use what [...]
10
12, 2020
NASAA Adopts CE Rule for Investment Advisers
On November 24, 2020, the North American Securities Administrators Association [...]
10
12, 2020
Part 1: CE Council Releases Guide on Firm Element
The CE Council recently released a guide to Firm Element [...]
10
12, 2020
Part 2: CE Council Releases Guide on Needs Analysis
The CE Council recently released a guide on proper practices [...]
10
12, 2020
Part 3: CE Council Releases Guide on Training Plan
The CE Council recently released a guide on proper practices [...]
16
11, 2020
FINRA Conducts Targeted Exam of Fund Fee Waivers
The Financial Industry Regulatory Authority (FINRA) is conducting targeted exams [...]
16
11, 2020
Your “Cheat Sheet” for 2021 FINRA Renewals
While it may be hard to believe, 2020 is already [...]
16
11, 2020
SEC Flags Multi-Branch Office Compliance for RIAs
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
