Communiques Archives - Page 2 of 19

What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024

June 4, 2024 No Comments

The Retirement Security Rules expands ERISA’s stringent fiduciary obligations to cover almost any situation where advice is provided for a fee to a retirement investor where there is an expectation that the advice being given is in the investor’s best interest. The Final Rule covers advisory firms and their representatives providing “fiduciary investment advice” to ERISA and non-ERISA plans, including IRAs.

Regulatory Roundup for May 2024

May 29, 2024 No Comments

Check out our regulatory update for May 2024, including Amendments to Regulation S-P, Proposed CIP requirements, the latest SEC Risk Alert on Marketing Rule, and more!

SEC Announces Five More Settlements from Marketing Rule Sweep

April 18, 2024 No Comments

SEC slams firms for using hypothetical performance on websites. See our analysis.

Top Ten Reasons to Hire an RIA Compliance Consulting Firm

April 11, 2024 No Comments

Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm

2024 Predictions

February 9, 2024 No Comments

We hope that everyone is enjoying the new year. With 2024 underway, we wanted to share our thoughts and predictions on regulatory matters for the

HAPPY THANKSGIVING FROM SEC³!

November 21, 2023 No Comments

As we celebrate Thanksgiving in a few days, we encourage everyone to take a few moments to reflect on the many things we all have

2024 SEC Exam Priorities

October 17, 2023 No Comments

The SEC is early to the game releasing the 2024 Exam Priorities just eight months after the 2023 Exam Priorities. Aside from the fact that the

SEC Charges Firm for Violating Whistleblower Protection Rule

October 4, 2023 No Comments

Last week, the Securities and Exchange Commission announced the settlement of charges against a registered investment adviser for violating Rule 21F-17(a) of the Securities Exchange

SEC Rule Amendments from Last Week

September 28, 2023 No Comments

Last week, the Securities and Exchange Commission announced the approval to revise regulations under the Privacy Act and enhancements to the Investment Company Act “Names

Practical Lessons from the Marketing Rule Sweep

September 19, 2023 No Comments

Last week, the U.S. Securities and Exchange Commission announced charges against nine registered investment advisers for holding out hypothetical performance on public websites without adopting

Communiques

Communiques Conflicts of Interest PTE 2020-02 Retirement Security Rule