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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

SEC Commissioner Peirce suggests ETF rulemaking is ‘long overdue’

6/20/2019

Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...

SEC soliciting feedback on harmonization of private securities offering exemptions

6/20/2019

With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedba...

Practice makes perfect when it comes to impressing SEC examiners

6/19/2019

A long-confirmed best practice has advisers showing OCIE examiners a “day one” PowerPoint presentation to introduce their visitors to their firm. Be...

LAWS & REGULATORY ACTIONS

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

Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships

Donald S. LaGuardia, Jr.: SEC Charges Founder of Bankrupt Advisory Firm with Fraud

Edward Lee Moody, Jr.: SEC Obtains Judgment Against Ponzi Scheme Operator who is serving 13 years in prison

COMPLIANCE TOOLBOX

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

Form ADV Instructions after Form CRS Rule

Form CRS

Senior Safe Act Fact Sheet