The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]
What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]
On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]
December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]
What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]
What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]
October 19, 2023 What: The Securities and Exchange Commission (SEC) announced its examination priorities for […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]
