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What Is 'Net Worth'?
“Net worth” is an important term in the financial world, as it helps firms make suitability determinations when clients are engaging in transactions in various investment products. But what does it really mean?... |
By: Laura Crosby-Brown |
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Social Media and Investment Advisers
Is the sky falling? Has the underworld frozen over? These are questions that many in the financial industry may be asking themselves since the Securities and Exchange Commission (SEC) issued a National Examination Alert on Investment Adviser Use of Social Media on January 4, 2012... |
By: Laura Crosby-Brown |
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Record Retention Guidelines
With the start of a new year, many firms are eager to “clean up” and store away documents from prior years. This always brings questions about which documents need to be kept and for how long. The following information is designed to help identify the basic requirements for member broker-dealers under the FINRA recordkeeping requirements and the SEC books and records rules...
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Introducing the Compliance Toolbox
Regulatory Compliance is pleased to announce the latest product that will now be offered exclusively to broker-dealer Compliance Partners. The Compliance Toolbox is a gadget we have prepared to assist our clients with organizing key compliance documents, contact information, and other frequently requested reference materials... |
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Investment Adviser Compliance: Proxy Voting
Investment advisers with authority to vote proxies could be in a position to affect the outcome of shareholder votes and influence corporate governance. As a result, the SEC expects advisers to adopt policies and procedures relative to proxy voting and provide disclosures to clients regarding these procedures. The goal of these procedures and disclosures is to help ensure advisers are acting in the best interest of clients ... |
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