Topics and Trends



CRD FilingPro

Download our full PDF brochure including description of Web CRD and other electronic registration filing services.

 

Outsourced CCO:

Click here to receive the full edition of NSCP Currents June 2014 article "Outsourced CCO: You May Now Proceed (With Caution)" by Evan Ignall

 

SEC Exam Priorities:

SEC Exam Priorities for 2014

 

Exams and Testing by the Numbers

Download the entire article here

 

SEC Proxy Voting Guidance: A Primer

SEC Proxy Voting Guidance: A Primer

 

Advertising Review Checklist:

Download this free checklist for some tips for reviewing your BD or RIA advertising or communication pieces.

 

BD Registrations: Experience, Licensing and Background Requirements

Getting a handle on the experience, licensing and background requirements before you begin the registration process can help you understand what lies ahead Download the BD Registrations: Experience, Licensing and Background Requirements list.

 

Social Media: Managing Business and Regulatory Expectations

Social media use is growing daily. Read this white paper to discover how to prepare your firm to meet social media compliance regulations. Download our free White Paper: How to Manage Social Media Use

 

Going Independent: The Independent Financial
Adviser…The Entrepreneur

Our Going Independent team of highly experienced financial services professionals takes you from registration to sale, and helps you manage everything in between. Download Going Independent: The Independent Financial Adviser…
The Entrepreneur services sheet

 

Responsibilities of the FinOp in Meeting
Compliance Requirements

The article “What Is a FinOp?” provides valuable insight into the responsibilities of a Financial and Operations Principal and what your firm should be doing to support this person. Read our article: What Is a FinOp?

 

Revised CFTC Registration Requirements
for Private Funds

Changes to the CFTC rules regarding the registration of Commodity Pool Operators (CPOs) mean many fund managers who relied on the accredited investor exemption may now have to register. Read our article: Revised CFTC Registration Requirement for Private Funds.

 

Guidelines for Meeting Form PF Requirements

Form PF is a significant new reporting requirement for advisers of private funds. The information collected on Form PF will be shared across regulatory agencies and may be wed in examinations, investigative, and investor protecting efforts.
Click here to download our FREE Form PF White Paper.

 

Year-End Compliance Planning Guide

Make year-end compliance planning easier by downloading our Year-End Compliance Planning Guide. At Regulatory Compliance we're focused on helping you stay on top of your compliance obligations. Click here to download our Year-End Compliance Planning Guide.

 

Is Your Firm's 'Enterprise Value'
Important to You?

The future of your business could depend on evaluating its enterprise value now. Start the process by simply answering the Define Success Questionnaire. Click here to fill out the FREE Business Assessment Define Success Questionnaire!

 

Investment Adviser Firm Succession Planning

If you own an investment adviser firm and haven't yet created a succession plan, you're not alone. Yet, not planning ahead for the future of your firm can put your firm - and your own future - at risk. Click here to download our FREE white paper and make sure your firm is not at risk.

 

Compliance Checklist: Important 2013
Compliance Dates

Our easy-to-use Compliance Checklist can help you stay on top of important compliance requirements and filing dates. Click here for our Compliance Checklist.

 

Stay in Compliance with Outside Business Activities Regulations

FINRA Rule 3270 outlines the responsibilities of a broker-dealer's designated principal in overseeing the outside business activities of the firm's registered representatives, as well as the responsibilities of registered representatives relative to outside business activities. An excerpt from one of our manuals discusses registered representative conduct and specifically details Outside Business Activities and Private Securities ("Selling Away"). Click here to review our Manual Excerpt which can help you be aware of important compliance requirements.

 

To learn more about any of our compliance services, contact us or call (603) 434-3594.