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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

INVESTMENT ADVISER NEWS & GUIDANCE

This advice just might save you a boatload when hiring outside counsel

9/12/2019

As an attorney, Dan Ball would be hired by investment advisers to advise them on legal and compliance issues. Then, one long-time client had an epipha...

SEC releases guide to help you tackle new Form CRS

9/12/2019

You may be alarmed when you think it took the SEC 178 pages in its Form CRS rule to help you produce a new two-page disclosure document (IA Watch, Jun...

IAs and AUM reach record numbers, new report finds

9/12/2019

The number of registered investment advisers—and the amount of assets they manage—have both reached new records once again as reported in the annual E...

LAWS & REGULATORY ACTIONS

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

Morgan Stanley Smith Barney: $225,000 fine assessed by SEC for MSRB violations related to swap deals

Raymond James & Associates, Raymond James Financial Services and Raymond James Financial Services Advisors: $15 million fine for compliance shortcomings

AST Investment Services, Inc. and PGIM Investments: $32 million fine against adviser in securities lending case that began with CCO escalating the matter

COMPLIANCE TOOLBOX

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

Trade Error P&Ps and Reporting Form

List of potential conflicts of interest commonly experienced by investment advisers

OCIE Exam Letter focuses on advisory fees

SPEECHES

Speeches from key industry regulators

SEC Commissioner Hester Peirce speaks in Japan about regulatory reform

SEC Commissioner Hester Peirce raises Renegade Pandas: Opportunities for Cross Border Cooperation in Regulation of Digital Assets

Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards that Protect and Provide Choice for Main Street Investors