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Payments to unregistered persons – the next round

USA - January 14 2015 The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and…

Steven M. Felsenstein

SEC Adjusts Thresholds for ‘Qualified Client’ Status - Effective Aug. 15, 2016

USA - June 17 2016 As it signaled its intent in May (notice available here), on June 14, 2016, the Securities and Exchange Commission (the Commission) issued an Order…

New ADV Rule

USA - August 25 2016 Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment…

New background check obligations on the horizon for securities broker-dealers

USA - January 13 2015 Earlier in 2014, the SEC incorporated old NASD Rule 3010 (the "Prior Rule") - related to employee supervision - into The Financial Industry…

Steven M. Felsenstein, Carl A. Fornaris

2016 SEC Exam Priorities

USA - February 10 2016 On Jan. 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its…

Arthur Don