The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert earlier this month from its national examination program warning investment advisers of the most common...more
9/24/2019
/ Brokers ,
Cross Trading ,
Disclosure Requirements ,
Failure to Comply ,
Fiduciary Duty ,
Form ADV ,
Investment Advisers Act of 1940 ,
Investment Management ,
OCIE ,
Private Funds ,
Risk Alert ,
Securities Regulation ,
Securities Transactions
The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more
2/15/2019
/ 529 Plans ,
Anti-Money Laundering ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Elder Issues ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Form N-CEN ,
Initial Coin Offering (ICOs) ,
Investment Funds ,
Investment Management ,
MSRB ,
OCIE ,
Popular ,
Retail Investors ,
Risk Management ,
Robo-Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Token Sales
Rewards and Risks in Opportunity Zone Funds -
H.R. 1—informally known as the Tax Cuts and Jobs Act—became law on December 22, 2017. Included in the Act is a new program intended to spur the reallocation of investments...more
9/11/2018
/ Best Execution ,
Community Development ,
Economic Development ,
Exchange-Traded Products ,
Investment Funds ,
Investment Management ,
Low Income Housing ,
Low-Income Issues ,
Mutual Funds ,
New Market Tax Credits ,
OCIE ,
Opportunity Zones ,
Real Estate Development ,
Risk Alert ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
State and Local Government ,
Tax Cuts and Jobs Act ,
Tax Deferral ,
Trump Administration