Searching Content indexed under Compliance by Christopher Wells ordered by Published Date Descending.
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Broker-Dealer And Investment Adviser Standards Of Conduct - SEC Adopts Rules And Interpretations
On June 5, 2019, the Securities and Exchange Commission voted to adopt a package of rulemakings and interpretations, including (i) a new rule creating a standard of conduct for broker-dealers when recommending securities to retail investors (Regulation Best Interest),...
United States
24 Jun 2019
SEC Flags The Top Six Advertising Rule Deficiencies For Investment Advisers
The SEC staff recently published an alert highlighting the most common deficiencies seen in investment advisers' marketing materials.
United States
28 Sep 2017
SEC Issues Risk Alert On The Most Frequent Advertising Rule Compliance Issues And Use Of Accolades In Advertisements
On September 14, 2017, the staff of the SEC's OCIE issued a National Examination Program Risk Alert on the most frequent advertising rule compliance issues identified in OCIE examinations...
United States
27 Sep 2017
SEC Announces Settlement With Adviser Found To Have Acted As An Unregistered Broker And Engaged In Conflicted Transactions
On June 1, 2016, the SEC announced a settlement with Blackstreet Capital Management, LLC and Murry N. Gunty, Blackstreet's managing member and principal owner.
United States
8 Jun 2016
Pay-To-Play Rule: SEC Announces Compliance Date For Ban On Third-Party Solicitation Of Government Entities
The SEC must find, by order, that such FINRA and MSRB rules impose substantially equivalent or more stringent restrictions than the Pay-to-Play Rule and are consistent with its objectives.
United States
20 Jul 2015
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