As a reminder, amended rule 203A-2(e) will impose certain reporting, recordkeeping, and compliance requirements on investment advisers relying on the exemption.
FINRA's Examination team conducts exams every member firm at least every four years and as often as annually. See Form CRS exam findings.
The Securities and Exchange Commission (SEC) voted to approve a new set of cybersecurity rules. Please see the below CCO Refresher.
It is critical for broker dealer supervisory personnel to stay mindful of fingerprint records for non-registered associated persons.
Expense Sharing Agreements are one of the most important regulatory concepts in the broker dealer and investment advisory world. Here’s a quick refresher.
