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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

Government shutdown likely to curtail OCIE’s record exam growth

3/14/2019

OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 2019)...

SEC invites comments on custody, including digital assets

3/14/2019

A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...

Former RIA turned family office seeks exemption

3/14/2019

Paul Edmunds used to be a broker-dealer before he opened his own RIA. Four years ago, he converted the advisory firm into “a multi-generational, singl...

LAWS & REGULATORY ACTIONS

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

Edward Withrow, et al.

Dale M. Walker

Christina Marie Daniels, et al.

COMPLIANCE TOOLBOX

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

Example of an IA Code of Ethics

Investment Policy Statement

Example of an Investment Policy Statement