Advertising Rule

Posting or Paying for a Review – SEC Changes Game for Testimonials and SolicitorsA New Approach to Advertising – the SEC Revises Investment Adviser Advertising Regulation

Blockchain & Digital Assets

SEC New Cyber and Emerging Technologies UnitN40 Digital Asset Summit Review

Broker-Dealers

FINRA Proposes New Rule to Streamline Outside Business Activity ObligationsCongressman Introduces Resolution to Repeal SEC's Enhanced Mutual Fund Disclosure Rule

Business Continuity Plan

No Time Like the Present to Review Your Business Continuity Plan

Compliance

SEC No Action Letter Streamlines Verification of Accredited Investors for Issuers in 506(c) OfferingsSEC New Cyber and Emerging Technologies Unit

ESG

Trump’s Executive Orders’ Impact on the ETF IndustryESG Investing – Sustainable Compliance for Sustainable Investing

ETFs

Upcoming Webinar: Delivering Investment and Trading Strategies Through ETPsTrump’s Executive Orders’ Impact on the ETF Industry

Form ADV

SEC Announces Exams Will Focus on Compliance with Form CRSSEC Extends Form ADV Filing and Delivery Deadlines due to Coronavirus

Fund Formation

SEC No Action Letter Streamlines Verification of Accredited Investors for Issuers in 506(c) OfferingsThe Real Winner of the Big Game? The NFL's Bottom Line

Names Rule

SEC Extends Compliance Date for the Investment Company Act Names Rule

Private Equity

SEC No Action Letter Streamlines Verification of Accredited Investors for Issuers in 506(c) OfferingsThe Real Winner of the Big Game? The NFL's Bottom Line

Registered Funds

Congressman Introduces Resolution to Repeal SEC's Enhanced Mutual Fund Disclosure RuleBuilding Your Clients’ Portfolios – EXAMS Highlights Concerns for Mutual Funds and ETFs

Robo Advisers

Robo Advisors and Custody Rules of the RoadRegistering your robo-advisory firm – where and how?

SEC

SEC Extends Compliance Date for Amendments to Form N-PORTSEC No Action Letter Streamlines Verification of Accredited Investors for Issuers in 506(c) Offerings

SEC Exams

SEC New Cyber and Emerging Technologies UnitRemedying Past Deficiencies

Uncategorized

The New Year Requires a Look Back and a Look Forward

White Collar

Top Five Takeaways from DOJ’s Newest Guidance for Investigation and Prosecution of White Collar Crimes