12/03/2018 | Content area:
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating i...
11/14/2018 | Content area:
SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises.
Find more from SIFM...
6/22/2018 | Content area:
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
6/21/2018 | Content area:
It could not have been an easy e-mail to write for Crawford Lake Capital Management ($679M in AUM). The Lakewood, N.J.-based adviser recently e-mailed...
6/06/2018 | Content area:
The Securities and Exchange Commission is adopting new rule 30e-3 under the Investment Company Act of 1940. Subject to conditions, new rule 30e-3 will...
5/23/2018 | Content area:
This corrects a few items in the earlier SEC proposal calling for a Form CRS.
4/26/2018 | Content area:
Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” and in a font ...
4/24/2018 | Content area:
A peer shares the form the firm uses to document with the client investment objectives.
4/24/2018 | Content area:
A peer shares the firm's form it uses to document a client's investment objectives.
1/02/2018 | Content area:
Click here to open a Word file that is an example of a form a client would sign to authorize the release of financial information to a third party.
12/02/2017 | Content area:
A peer shares items that should be found within a new client's folder.
10/18/2017 | Content area:
FINRA requires that you request a Trusted Contact for “each account” of a client 65 years and older under its new senior investor protection rules (BD...
10/12/2017 | Content area:
Under FINRA’s new senior investor protection rules, it’s clear that the new Trusted Contact requirement applies only to non-institutional customer acc...
9/14/2017 | Content area:
A peer shows you the firm's policies and procedures for communications, including advertising, social media and more.
8/08/2017 | Content area:
The following FAQs provide information on (1) a “fiduciary status disclosure” issue under the Department of Labor’s ERISA section 408(b)(2) service pr...
7/10/2017 | Content area:
“A” is hereby granted relief from the requirement in Commission regulation 4.7(b)(3) to file with NFA and distribute to participants an annual report ...
4/04/2017 | Content area:
This is an example of a consent form for a client to agree to permit the adviser to release financial information to a third-party.
2/16/2017 | Content area:
A proposal that would provide an exception to the prohibition on projecting performance to permit brokerage firms to distribute a customized hypotheti...
1/12/2017 | Content area:
The former president and CEO of a Connecticut-based dual registrant and his lawyer friend of over 25 years have settled SEC charges of fraudulently sc...
7/21/2016 | Content area:
In soliciting investments, Navarra provided investors with materially misleading private placement memoranda (“PPMs”). These PPMs (1) overstated Conce...