Investment Adviser Home

Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules

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

Exam roundup: hot issues OCIE’s pursuing with your peers

9/13/2018

If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and asking lo...

IM pulls key ‘no-action’ letters, Clayton emphasizes only Commission makes rules

9/13/2018

Some two weeks after a new group urged the Commission to tamp down on the administrative state (IA Watch, Aug. 30, 2018), SEC Chairman Jay Clayton has...

With elections nearing, adviser’s pay-to-play case serves to remind staff and compliance

9/13/2018

We’ve told you before about Stephanie Drescher’s $1,000 contribution to the presidential campaign of Ohio Governor John Kasich (IA Watch, March 29, 20...

LAWS & REGULATORY ACTIONS

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

Thomas Caufield: SEC Charges Former Owner of Investment Education Franchise with Misleading Investors

Capital Analysts: Another share class allocation enforcement action, $1.3 million in payments ordered

SEC No-ACtion Letter: PIMCO Corporate & Income Opportunity Fund and PIMCO Income Opportunity Fund

COMPLIANCE TOOLBOX

Save time with 100+ tools and sample documents.

Form N-Port

OCIE Document Request Letter that focuses on an adviser's mutual fund

OCIE exam letter from the New York Regional Office