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Are You Ready for the New ADV Part 2?
Under the new SEC rules relating to the new form ADV 2, effective January 1, 2011, all advisers are required to create and file a narrative brochure electronically in a text searchable PDF format on the Investment Adviser Public Disclosure website (“IARD”). This document must also be delivered to clients within 120 days of filing. The filing and delivery requirement may vary for State Registered Advisers so be sure to check... |
By: Rob Marchinkowski |
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December 2010 – The Month of Extensions
Every December the federal government and various agencies seem to do an inventory of expiring rules, regulations, laws and exceptions and issue special notices or make new laws on extending an assortment of items. The year 2010 was no exception, with Congress and the SEC leading the way. |
By: Laura Crosby-Brown |
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Electronic Communications and Record Keeping Compliance
As technology advances and becomes a more integral part of our everyday lives, we have to think about how it affects our responsibilities as compliance professionals. The term “electronic communications” refers to communication such as email, instant messages, text messages and other communication requiring an electronic device that is communicated through the use of personal computers, smart phones... |
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Outside Business Activity –
New Requirements under Consolidated FINRA Rule 3270
Executive Summary: FINRA Rule 3270, Outside Business Activities (OBA) of Registered Persons, replaced NASD Rule 3030 and NYSE Rule 346, effective December 15, 2010. The most significant change relates to the timing of the required notice by employees to their firm. It is important to note that firms have until June 15, 2011 to review any pre-existing activities of any registered persons who were actively engaged in an OBA prior to December 15 and will have until June 15, 2011 to review these pre-existing activities...
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Definitions of Industry Terms
From time to time, we are asked to provide definitions of industry terms. The following are some words or phrases we have received questions on recently. |
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