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

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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

INVESTMENT ADVISER NEWS & GUIDANCE

Check out OCIE’s newest requested format for your trade blotter

1/17/2019

IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam. The new for...

With your Form ADV update coming in sight, time for tips when adding up your assets

1/17/2019

There’s RAUM and AUM and now, at the risk of drowning in acronym soup, AUA. They all add up to ways to measure the size of your advisory business. S...

Hackers allegedly acted within minutes to turn stolen data into trading profits

1/17/2019

The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursda...

LAWS & REGULATORY ACTIONS

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

Walter John Dubiel: SEC bars rep for sharing client account log-in credentials with a colleague

Warren Nadel: SEC bars a former CCO at a dual registrant for ripping off clients

Retirement, Savings, and Other Tax Relief Act of 2018

COMPLIANCE TOOLBOX

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

A Trade Blotter example requested by OCIE

Overview of SEC Advertising Rules for Advisers

CFP Board Code of Ethics