Author: Jon Hurd

SEC Risk Alert – Investment Adviser Compliance Programs

On November 19, 2020, the Securities...

SEC Risk Alert – Supervision, Compliance and Multiple Branch Offices

On November 9, 2020, the Securities...

‘Tis the Season for an AML Inspection

As Summer has...

SEC Risk Alert – Investment Adviser Principal and Agency Cross Trading Compliance Issues

Overview On September...

2019 SEC Examination Priorities

The Office of...

SEC Risk Alert: Electronic Communications

Overview On Friday December...

SEC Charges Firm with Cyber and Identity Theft Prevention Failures

The Securities and...

SEC Staff Issues Guidance on Third-Party Record keeping Services

Overview Earlier today...

Digital Assets

On Friday July...

Web CRD Enhancements and Changes Pursuant to the 2018 FINRA Conference

At the 2018...

Enhancements to FINRA’s Disclosure Review Process Relating to Public Records

A few years...

Revised Form ADV effective October 1, 2017

Overview The SEC...

CYBERSECURITY: Ransomware Alert

Overview The SEC...

New FINRA Rule 3210 – Accounts at Other Broker-Dealers and Financial Institutions

Rule Overview On...