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The SEC Examinations Priorities Handbook (2019 Edition)
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts

The Adviser's Guide to SEC Advertising and Marketing Rules

Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

INVESTMENT ADVISER NEWS & GUIDANCE

More signs that revenue sharing will likely be the SEC’s next big initiative

3/21/2019

Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class allocations (see ...

Share class settlements won’t kill 12b-1 fees but resuscitation comes through disclosure

3/21/2019

It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...

With the SEC watching, advisers face the challenge of when to ‘ring the bell’ on senior worries

3/21/2019

It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...

LAWS & REGULATORY ACTIONS

Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.

Direct Lending Investments, LLC

Neil Maxwell

Charles G. Stivers

COMPLIANCE TOOLBOX

Save time with hundreds of peer-tested tools and sample documents.

ISSA Cybersecurity Glossary

Common Cybersecurity Terminology

OCIE exam questions to mutual fund advisers