Jeffrey Kalinowski

BCLP

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Latest Posts › Retail Investors

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FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022

FINRA’s Request for Comments - Based on concerns regarding complex products as expressed in Regulatory Notice 22-08, FINRA is seeking comments from member firms by May 9, 2022, including, how firms identify complex...more

3/17/2022 / Broker-Dealer , Comment Period , Complex Financial Products , Financial Industry Regulatory Authority (FINRA) , Regulatory Oversight , Request For Information , Retail Investors

Heads Up! Your Form CRS Grace Period Has Ended: The SEC Drops the Hammer on 27 Firms for Compliance Failures with Form CRS Filing...

In case you were wondering if you can still push off finalizing your Form CRS filing, posting it on your website and delivering it to clients, the SEC has read your mind and answered loudly: no more! On Monday, the SEC...more

7/28/2021 / Broker-Dealer , Compliance , Enforcement Actions , Filing Requirements , Financial Services Industry , Form CRS , Investment Adviser , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC)

The SEC’s Division of Examinations Highlights Increased Concerns with Wrap Fee Programs

Given the continued popularity of recommending wrap fee programs to clients, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“DOE”) recently released a Risk Alert dated July 21, 2021, wherein it...more

7/26/2021 / Best Interest Standard , Broker-Dealer , Disclosure Requirements , Fees , Financial Services Industry , Investment Adviser , Investment Products , Retail Investors , Risk Alert , Securities and Exchange Commission (SEC)

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