Compliance Best Practices

The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...

These new FAQs were released in December 2023

The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...

Given that 2024 is a presidential election year, the smart money sides with the SEC backing off a bit from its aggressive rulemaking, exam and ...

In a phrase, 2024 looks to be another busy year for CCOs

Here’s a snapshot of some of the regulatory developments slated to occur this year

Check out our most popular editorial content on our website for December

Gain takeaways from the latest SEC risk alerts

There’s plenty of talk that the SEC will revisit the accredited investor thresholds but no action yet. You still have flexibility in how you verify ...

FINRA is in the throes of developing an online, centralized content catalog that broker-dealers can optionally leverage to administer education and training for their continuing ...