Here are some suggestions for how to review the trade blotter courtesy of Victoria Hogan of NorthPoint Compliance in Red Bank, N.J.
A peer shares the firm's social media policy.
This is the text of the famous U.S. Supreme Court case SEC v. Capital Gains Research Bureau 375 U.S. 180 (1963). This opinion is cited ...
A copy of the FINRA letter sent to the SEC in November 2010 urging the agency to recommend an SRO for advisers.
An example of a privacy policy courtesy of one of your peers.
This is a typed copy of an SEC document request letter sent by the New York Regional Office in October 2010.
A peer shares its privacy policy statement.
A lawsuit filed in October 2010 against several parties, including two RIAs, allegedly breach of fiduciary duty under ERISA in connection with losses sustained through ...
This is a code of conduct for placement agents that was submitted to the SEC as part of its proposed pay-to-play rule.
This is a copy of an SEC document request letter for a limited scope exam. This exam occurred out of the Atlanta region in 2010.