Digital Assets | SEC | Custody Rule
President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a letter to President & Chief Executive Officer of the Investment Adviser Association, ...
SEC
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 ...
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of 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: SEC Issues Statement Regarding Digital Assets
Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued a joint statement in conjunction with FINRA’s general counsel addressing various elements of ...
Why is the crypto market up today?
Key takeaways:The crypto market is up 2.5% on May 8, with its capitalization above $3 trillion for the first time in over eight weeks. Fed's steady rates and stagflation fears boost Bitcoin as a ...
News Update: SEC Fines 27 Firms for Form CRS Failures
The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their ...
Monthly Regulatory Summary (July 2021)
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 ...
Breaking News Update SR-FINRA-2020-041 Approval
News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an order dated July 30, 2021, the SEC approved the adoption of new FINRA Rule 4111 and Rule 9561 ...
Monthly Regulatory Summary (August 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 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 (October 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 ...
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