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Searching Content indexed under Corporate/Commercial Law by Peter Wilson ordered by Published Date Descending.
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OCIE Observations From Examinations Of Investment Advisers
As part of the OCIE's focus on protecting retail investors, the staff conducted a series of examinations to assess the oversight practices of SEC-registered investment advisers that previously employed, ...
United States
2 Aug 2019
2
SEC Adopts New Rules And Interpretations
The SEC's interpretations under the Advisors Act will become effective upon publication in the Federal Register.
United States
19 Jun 2019
3
Quarterly U.S. Regulatory Roundup – First Quarter 2019
In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC ...
United States
29 May 2019
4
FINRA Issues Its 2019 Risk Monitoring And Examination Priorities Letter
Suitability remains one of FINRA's top priorities.
United States
5 Feb 2019
5
Reminder: Renewal And State Notice Filings Due December 17
Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.
United States
24 Jan 2019
6
OCIE Risk Alert Relating To Electronic Messaging
If you have any questions or require further information, please do not hesitate to contact one of our experts.
United States
16 Jan 2019
7
2018 Report On FINRA Examinations And 2019 Fingerprint Fee Change
On December 7, FINRA published its 2018 Report on FINRA Examination Findings.
United States
14 Jan 2019
8
SEC Approves Consolidated FINRA Registration Rules
Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:
United States
1 Nov 2018
9
SEC Issues Risk Alert On Best Execution
After analyzing deficiency letters from over 1,500 investment adviser examinations, the SEC's Office of Compliance Inspections and Examinations released a risk alert regarding the most common deficiencies...
United States
18 Jul 2018
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