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Making the Investment Adviser Registration Switch
We have all heard much about the new requirement as a part of the Dodd-Frank Financial Reform Act, where investment advisers who manage more than $25 million in assets but less than $100 million (mid-size advisers), and who are currently registered with and regulated by the SEC... |
By: Beverly Fetcko
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Notes from FINRA District 11 Compliance Meeting
In October, the Boston district office of FINRA held a compliance meeting where surveillance, examinations and the use of social media were discussed by district staff and representatives from the FINRA office in Rockville, Maryland, and the SEC in Boston... |
By: Laura Crosby-Brown |
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False Advertising and the 'RIA'
We’ve all done it. We’ve used the term “RIA” as a stand-in for “registered investment adviser” when making a point or to explain what we do. However, some have taken it a step further by using “RIA” as a designation for themselves, which the North American Securities Administrators Association (NASAA)... |
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AML Compliance for Placement Agents
In the broker-dealer world, there are a variety of business models, approved business types, and clients. It is important to understand what your firm's AML responsibilities are, and how the Bank Secrecy Act/USA PATRIOT Act applies. When broker-dealers act as a placement agent, they may or may not handle subscription documents, PPMs, or serve a role in facilitating payments from investors to issuers...
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2012 Renewal Program
It’s that time of year. The leaves are changing, the air is getting cooler, and FINRA wants you to pay up – it’s Renewal Season!... |
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Year-End Reminders for Broker-Dealers
As the holiday season gets into full swing, it is easy to forget some of the important regulatory dates and deadlines, especially annual and year-end items. For that reason, we’d like to remind you of the following... |
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