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SEC Adopts New Disclosure Form CRS and Issues Official Guidance Regarding Investment Advisers’ Fiduciary Duty

USA - February 5 2020 On June 5, 2019, the Securities and Exchange Commission approved new regulations applicable to broker-dealers and investment advisers registered with…

Jonathan W. Hackbarth.

Defending a FINRA Investigation to Avoid a FINRA Enforcement Action

USA - February 5 2020 Receiving a Rule 8210 request from FINRA. It's the moment that every broker-dealer dreads. But what many broker-dealers fail to appreciate is that…

Jonathan W. Hackbarth.

SEC continues focus on cybersecurity issues

USA - October 9 2015 On September 22, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing that it settled charges against an investment…

SEC announces focus areas for second round of cybersecurity exams of broker-dealers and investment advisers

USA - October 5 2015 On September 15, 2015, the Office of Compliance Inspections and Examination (OCIE) of the Securities and Exchange Commission (SEC) published a Risk…