FINRA’s $25k fine proves FINRA Reg BI boilerplate policies are a regulatory target. This article breaks down the Alexander Investment Services case and explains why your firm needs specific, not generic, supervisory procedures to avoid sanctions.
The SEC’s Marketing Rule case against Meridian shows why advisers must verify claims and maintain strong compliance controls.
The SEC’s latest enforcement actions highlight the risks of compensation-driven conflicts and inconsistent disclosures.
Stay informed with our February–March 2025 Regulatory Roundup, featuring practical insights on key SEC developments, including updates to the Marketing Rule, crypto regulation, and Rule 506(c) under Regulation D.
Thanks to the SEC for No New Rules, Unsurprising 2025 Exam Priorities and Lessons on Greenwashing, Valuation Shortcuts and Registration Requirements for Affiliates.
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post
Advisers have new obligations under ERISA’s Retirement Security Rule when dealing with retirement plan assets. PTE 2020-02’s disclosure requirements for PTE 2020-02 are also changing to conform to Regulation Best Interest.
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!