On Friday, June 26, the U.S. Securities and Exchange Commission (“SEC”) released updated responses to FAQs regarding Form CRS. Notwithstanding the timing of the updated FAQs, the additional guidance offers supplementary and expanded information regarding the SEC’s stance on important considerations for the Form CRS including:
The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.
Robert Boeche and James Smith will present on Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS for NSCP’s Webinar November 21, 2019.… Read More
Michelle L. Jacko and Tina Mitchell wrote the article titled Editorial Advisors Corner: Risk Management Update April 2015 – Regulatory Pitfalls Regarding Fee Based Accounts which was published in the Wolters Kluwer Newsletter in July/August, 2015. … Read More