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Dual Registrants (556)
Your search for Dual Registrants returned 556 results.
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3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
8/03/2017 | Content area: Investment Adviser
Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers ...
7/19/2017 | Content area: Investment Adviser | Broker-Dealer
This matter concerns KMS, a dually-registered investment adviser and broker dealer that failed, in its capacity as an investment adviser, to disclose ...
3/31/2017 | Content area: Investment Adviser | Broker-Dealer
This two-page questionnaire can be used by staff to alert you to their outside business activity.
1/19/2017 | Content area: Investment Adviser | Broker-Dealer
A failure to adopt and implement compliance P&Ps reasonably designed to ensure its clients weren’t overbilled according to the terms of their advisory...
1/12/2017 | Content area: Investment Adviser
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...
9/01/2016 | Content area: Investment Adviser | Broker-Dealer
Every two years like clockwork, the SEC has extended its temporary rule permitting principal trades with certain clients by dual-registrants. The last...
4/25/2016 | Content area: Investment Adviser | Broker-Dealer
The indictment alleges that Segal conducted a fraudulent scheme in which he stole more than $3.2 million from clients and other investors through the ...
6/03/2015 | Content area: Investment Adviser | Broker-Dealer
The battle’s on. SIFMA released June 3 a detailed “best interests of the customer standard” for broker-dealers that included regulatory language to re...
5/07/2015 | Content area: Investment Adviser | Broker-Dealer
It’s no secret that the SEC has long trained its regulatory glare upon transaction-based compensation and entities that aren’t registered broker-deale...
3/03/2015 | Content area: Investment Adviser | Broker-Dealer
Broker-dealers must supervise private securities transactions where the rep is compensated, under FINRA rules. They also must record the transactions ...
12/18/2014 | Content area: Investment Adviser | Broker-Dealer
Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comp...
12/04/2014 | Content area: Investment Adviser | Broker-Dealer
A case from this past summer against SunTrust Investment Services ($9.5B in AUM) in Atlanta stands out as unusual because the dual-registrant settled ...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
It looks like interest rate sensitive securities will make a re-appearance on FINRA’s 2015 exam priorities list. A senior FINRA staffer has cautioned ...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
FINRA continues to advance enhancements to its risk-based exam program with a view toward being more data driven and automated. “This data driven appr...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
There was a “significant” rise in the number of enforcement actions initiated by state securities regulators against licensed broker-dealer sales agen...
10/30/2014 | Content area: Investment Adviser | Broker-Dealer
An easy out for many compliance staff given the duty to train firm employees on gifts and entertainment rules is to adopt the lowest regulatory thresh...


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