Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Regulatory Update

Regulatory News Update: SEC Charges 12 Firms with Recordkeeping Violations

What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]

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Regulatory News Update: The SEC Charges 12 Municipal Advisors with Recordkeeping Violations

What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]

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Regulatory News Update: SEC Charges 9 RIAs Related to Ad Rule Violations

The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]

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Regulatory News Update: The Trend Continues – SEC Fines Twenty-Six Firms More Than $390 Million Combined for Recordkeeping Failures

What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]

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Regulatory News Update: SEC Adopts Changes to the Definition of Dealer and Government Securities Dealer

What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government […]

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Regulatory News Update: Court of Appeals Vacates SEC Private Fund Rule in its Entirety

The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]

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Regulatory News Update: SEC Marketing Rule Risk Alert

What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]

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SEC Charges Five More Investment Advisers for Marketing Rule Violations

Last week the SEC announced that it had settled charges against five more registered investment […]

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Regulatory News Update: SEC Charges Investment Advisers with Advisers Act Violations for AI Statements

What: The SEC announced that it settled charges against two investment advisers for making false […]

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Regulatory News Update: Deadline Approaching for Certain Proprietary Trading Broker-Dealers to Join FINRA via the Short-Form Membership Application Process

As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]

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