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Searching Content indexed under Securities by Joshua Horn ordered by Published Date Descending.
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1
Compliance Issues The SEC Is Seeing
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations.
United States
13 Feb 2017
2
One Man's Rogue Broker Is Another Man's Treasure
Like it has in the past, FINRA is sharply focused on examining brokers with a disciplinary past, including the indentification and examination of such brokers being placed at the top of its 2017 exam priorities.
United States
30 Jan 2017
3
Securities Compliance Sentinel
A recent Investment News article highlighted a burgeoning market for financial advisors looking to protect their practices; namely, data breach insurance.
United States
21 Jan 2017
4
What Are You Doing To Prevent A Data Breach
A broker-dealer recently agreed to pay a $650,000 fine after an OSJ's cloud vendor failed to adequately protect customer information.
United States
13 Dec 2016
5
Dodd What
Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as promised.
United States
9 Nov 2016
6
So Who Wants Senior Clients
In its never-ending effort to thwart senior investor fraud, FINRA recently proposed a new rule to the SEC.
United States
2 Nov 2016
7
Private Equity And Hedge Funds: Regulatory Analysis And Structural Overview
We have produced this handbook as a reference guide for all those who are interested in this exciting field, from potential entrants to those who may be more established and need a quick reference guide.
United States
22 Oct 2016
8
FINRA Regulation of Broker-Dealer Due Diligence In Regulation D Offerings
Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S. Securities and Exchange Commission (Commission) or qualify for a registration exemption.
United States
22 Oct 2016
9
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
10
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
11
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
12
Crowdfunding Intermediaries
On April 5, 2012, the Jumpstart Our Business Startups Act (the JOBS Act) was enacted. Consistent with its name, the JOBS Act sought to help small businesses and start-ups get off the ground and on a path toward success.
United States
22 Oct 2016
13
Broker Dealers, Registered Investment Advisers and Commodities/Futures Registered Entities: Recognizing Their Structured And Regulatory Differences
At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our clients to develop these entities while also assisting them in their ongoing business operations.
United States
19 Oct 2016
14
When Just Saying "No" Is A Good Thing
In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost?
United States
14 Oct 2016
15
Do You Really Want To Hire That Broker With A Checkered Past
The SEC will essentially be examining the investment advisers business and compliance practices, particularly focused on higher risk individuals.
United States
19 Sep 2016
16
Is This The First Shot In The SEC's War Against Social Media?
The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the release of a final rule on the subject, the SEC has taken that "exam priority" to the next level.
United States
7 Sep 2016
17
National Survey In Restrictive Covenants
National Survey on Restrictive Covenants
United States
2 Sep 2016
18
Who Wants To Chair A FINRA Arbitration
Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair.
United States
30 Aug 2016
19
Don't Argue; The Client Is Always Right Even When They Are Not
Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe.
United States
25 Aug 2016
20
The SEC Now Has A Lead Cybersecurity Senior Adviser; Now What?
The SEC recently created a new position associated with cybersecurity; senior adviser to the chair for cybersecurity (Christopher R. Hetner). Mr. Hetner has an extensive background in information technology and, in particular, cybersecurity.
United States
13 Jul 2016
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