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BD/IA Regulator Blog

Articles: 1-10 of 146

SEC Announces Settlements Resulting from the Share Class Selection Initiative

USA - March 13 2019 On March 11, 2019, the SEC announced settlements with 79 investment advisers who self-reported violations of the Investment Advisers Act of 1940 (the…

FINRA Asks Members: What Are You Doing with Digital Assets?

USA - July 12 2018 In a July 2018 Regulatory Notice (Regulatory Notice 18-20, available here: http://www.finra…

New Exemptive Rule Could Lower Barriers to Entry for New ETFs

USA - June 29 2018 At an open meeting held June 28, 2018, the SEC voted unanimously to propose a new rule codifying exemptions to certain rules under the Investment…

AICPA Draft Guide Available for Comment: Valuation of Portfolio Company Investments of Venture Capital and Private Equity Funds

USA - June 5 2018 The AICPA recently released for public comment a working draft of its Accounting and Valuation Guide: Valuation of Portfolio Company Investments of…

SEC Brings 13 Settled Enforcement Proceedings for Failure to File Form PF

USA - June 4 2018 On June 1, 2018 the SEC announced that it entered into settled enforcement proceedings with 13 registered investment advisers. According to the…

Retail Client Confusion Regarding Broker-Dealers and Investment Advisers: Call Me by Your Name

USA - May 3 2018 In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange…

Enforcement Issues FAQs on the Share Class Selection Disclosure Initiative

USA - May 2 2018 On May 1, the SEC’s Division of Enforcement issued a series of frequently asked questions (FAQs) related to its Share Class Selection Disclosure…

FINRA Proposes Amendments to Quantitative Suitability Rules

USA - April 23 2018 On April 20, 2018, FINRA issued proposed amendments to Rule 2111’s “quantitative suitability” provisions. According to FINRA, the proposal is designed…

Broker-Dealer Standard of Care: The SEC Enters the Fray

USA - April 18 2018 At an open meeting held earlier today, the SEC voted 4-1 to propose a package of rules, forms, and guidance designed to define a new “best interest”…

FINRA updates its Frequently Asked Questions on new mark-up and mark-down disclosure rules for transactions in fixed income securities

USA - March 22 2018 On March 19, 2018, FINRA updated its guidance on its recent amendments to Rule 2232. The new requirements, which are currently scheduled to take…