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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

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...

SEC actions on fiduciary duty draw early applause

6/13/2019

Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...

‘Principles-based’ and flexibility predominate new IA fiduciary duty interpretation

6/13/2019

While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...

LAWS & REGULATORY ACTIONS

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

Jaswant Gill

Maxwell Technologies, Inc., et al.

Michael Santicchia, CPA

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