Monthly Regulatory Summary (February 2022)
Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...
CRC
Monthly Regulatory Summary (August 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
Regulation Best Interest – Compliance Risk Concepts
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the ...
News Update: FINRA to Sweep BDs on Use of Social Media Influencers to Refer Clients
September 2021 Overview & Summary FINRA announced that it is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms ...
Monthly Regulatory Summary (September 2021)
FINRA Regulatory Notices Per Notice 21-31, FINRA has established a new Supplemental Liquidity Schedule (SLS). The new SLS, which members subject to the requirement will need to file as a ...
Monthly Regulatory Summary (December 2021)
Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...
News Reminder: SEC Approves FINRA Rules Change
Overview In an order dated July 30, 2021, the SEC approved the adoption of new FINRA Rule 4111 and Rule 9561 and the amendment of Rule 9559. FINRA has extended the effective date for the ...
SEC Offers Guidance on Form CRS
Overview As firms prepare their annual ADV updates or review their compliance programs, one area where advisers and brokers who provide services to retail clients should highlight is Form ...
Monthly Regulatory Summary (February 2022)
Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...
Monthly Regulatory Summary (August 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
Monthly Regulatory Summary (September 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
Monthly Regulatory Summary (December 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
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