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...
- SEC Examination Focus: Four Considerations for Vendor Relationships Within Your Business Continuity Plans (BCP)
- Old, Familiar Fraud Found in New, Innovative Investments
- An Important Lesson About Marketing Materials and Risk
- Getting Ahead of the Curve: FINRA’s Areas of Focus for 2020
- Internal Control Failures Cost MetLife $10 million in SEC Settlement
- Another Technology Company Settles SEC Charges Over ICO Violations
- SEC Proposes Updated Definition of Accredited Investor, Qualified Institutional Buyer
- How to Avoid Legal Problems and Foster a Culture of Regulatory Compliance
- Inside the SEC’s Proposed New Rules for Financial Advisor Advertising
- A Costly Failure to Follow Written Policies and Procedures
- Securities and Exchange Commission (SEC)
- Investment Advisers
- Due Diligence
- Advisers Act
- Policies and Procedures
- Securities Law
- Office of Compliance Inspections and Examinations (OCIE)
- Ponzi Scheme
- Aging Clients
- Form U5
- California Consumer Privacy Act (CCPA)
- Virtual Currency
- Dodd-Frank Act
- Regulation Best Interest
- Private Equity
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- Transition Services
- Hedge Funds
- Regulatory Examinations
- Personally Identifiable Information (PII)
- Government Shutdown
- Risk Alert
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- Investment Company Act
- Rule 6c
- Broker Protocol
- Wells Fargo