CLICK HERE For Important Information Regarding Rule 3012:   Limited Size and Resource Exception

ARCHIVE NEWLETTERS

2006 December

2006 September

2006 July

2006 June

IMPORTANT REMINDERS

Notice to Members:

For your convenience, we have prepared brief summaries with links to full NTM notices.  Read More...

NSCP Compliance Conference:

Beverly Fetcko, Manager of Compliance Partners, recently attended the NSCP National Conference in Washington DC.  Important issues discussed were BD Supervisory Responsibilities, Advertising, Internal Controls, Regulatory Audits and preparing for NASD exam, as well as Internal Audits and Inspections.  Read More...

DON'T PANIC...READ THIS!

RC has noticed many Broker Dealers in a “Panic” mode...usually due to an upcoming NASD exam.  RC will assist your CCO and your firm in saving a lot of anxiety and money.  RC has a cost-efficient cure.  Contact SALES@RegulatoryCompliance.com or CLICK HERE and learn more about how you can become a COMPLIANCE PARTNER.   

Rule 206(4)-7 requires each SEC-registered adviser to review its policies and procedures and to annually establish, maintain, “determine their adequacy and the effectiveness of their implementation” of a comprehensive compliance program.  Read More...

RIA News Worth Revisiting (Licensing):

One of the more common questions we receive when a Registered Investment Advisor firm is considering registering an Investment Adviser Representative is “What do they need for licenses?” Read More...

SEC NEW HEDGE FUND RULE PROPOSAL AFFECTS ALL PRIVATE FUNDS

Read this article by Geoffrey T. Chalmers, Esq., a Boston-based securities attorney specializing in broker-dealer and investment adviser legal and compliance issues. He co-authored the broker dealer and adviser supervisory procedures manuals currently featured by Regulatory Compliance.  

Are you a $5,000 Broker-Dealer or $250,000 Broker-Dealer? 

CLICK HERE to read an interesting article written by Anne Farris, Financial & Operations Principal.

SEC ISSUES ORDER

The topics of fee reasonableness and the adequacy of fee disclosures is something that we, at Regulatory Compliance, encounter frequently.  Read More...

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