Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Regulatory Update

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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Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

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Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report

Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]

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Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

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Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

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Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC

What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]

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