Growing older is something that every single one of us does. It's a simple fact of life that we will all age with time. Those who advise aging clients may be among those that are the most acutely aware...
On the surface, a Form U5 seems straightforward. Direct from FINRA's general instructions, it's the uniform termination notice for securities industry registration. A firm must file a Form U5 anytime one of its registered employees leaves the firm. The...
With 2017 coming to a close, it's time to start looking at what you'll need to prepare in the first quarter for 2018. One of the major priorities for early in the year is Form ADV. If your fiscal...
Early in October, at the National Association of Municipal Advisors Conference, two attorneys with the Office of Compliance Inspections and Examinations ("OCIE") told the municipal advisors in attendance that many need to work on improving compliance procedures. To ensure...
Announced October 11th, 2017, FINRA is restructuring its representative level qualification exam program. It will be creating the Securities Industry Essentials ("SIE") exam, while also revising the representative-level qualification exams (i.e. Series 6 & 7). The goal of restructuring...
Earlier this month, a federal jury ruled against the founder of F-Squared Investments, Howard Present, in a case that was first brought to court almost two years ago. The firm, at one time, was the largest marketer of index...
This year, Core Compliance & Legal Services, Inc., in conjunction with IA Watch, is hosting a one day event featuring several Jacko Law Group, PC team members. It's fast approaching, taking place November 2, 2017, in Los Angeles. If...
Preparing for regulatory examinations is a daunting prospect. If you haven't set up the policies and procedures to ensure you can handle such an exam at the drop of a hat, it becomes more than just daunting: it turns into...
The U. S. Securities and Exchange Commission Division of Investment Management recently published an Information Update to provide clarification regarding filing certain Form ADV Part 1A amendments. On August 25, 2016, the Commission adopted amendments to Form ADV that have...
Last week the U. S. Securities and Exchange Commission judged that David Lubin, a New York-based attorney, may no longer appear or practice before the SEC, and may no longer act as an officer or director of a public...
- Amadeus Wealth Advisors, Three Bridge Wealth Advisors Settle SEC Unlawful Proxy Charges
- Charging Fees for Inactive Accounts can be as Problematic as Churning
- SEC: Prudential Failed to Disclose Conflicts of Interest to Fund Boards
- SEC Charges Investment Bank Junior Analyst with Insider Trading
- SEC Files Charges in Fraudulent Token Manipulation Scheme
- OCIE Risk Alert: Guidance for Compliance, Supervisory and Disclosure Procedures
- Jury Returns Verdict for SEC in Case Against Broker Charged with Fraudulent Excessive Trading
- SEC Charges Investment Advisor with Defrauding Clients by Failure to Disclose Conflicts of Interest
- Charging Clients Fees Not Disclosed in Form ADV: State Street Settles with SEC for $88 Million
- The CFP's Revised Code of Ethics and Standards of Conduct Takes Effect
- Securities and Exchange Commission (SEC)
- Advisers Act
- Policies and Procedures
- Investment Advisers
- Office of Compliance Inspections and Examinations (OCIE)
- Form U5
- Ponzi Scheme
- Aging Clients
- Due Diligence
- Virtual Currency
- Regulation Best Interest
- Dodd-Frank Act
- Transition Services
- Private Equity
- Private Funds
- Personally Identifiable Information (PII)
- Hedge Funds
- Regulatory Examinations
- Government Shutdown
- Risk Alert
- Securities Law
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Broker Protocol
- Wells Fargo