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Red Oak Blog

News that affects your business and ours.
 
January 21 2018
Will the SEC Shut Down During a Government Shutdown? The US Securities and Exchange Commission (SEC) has issued an “Operations Plan Under a Lapse in Appropriations and Government Shutdown” (“Operations Plan”), which describes how the SEC will operate in the event of [...] Read more
January 21 2018
SEC Fort Worth Office – Call Notes A good friend and colleague, Michael Koch, shared his notes with us regarding the recent phone call held by the Fort Worth SEC office. We believe these notes provide valuable insights and recommendations [...] Read more
January 20 2018
FINRA 2018 Regulatory Exam Priorities On January 8, 2018, FINRA released a 2018 Regulatory Exam Priorities Letter. The letter highlights specific areas where FINRA will focus their exam priorities and indicates specific areas of opportunity for FINRA members [...] Read more
January 13 2018
SEC Chairman Issues Statement on Cryptocurrencies and Initial Coin Offerings As increasing members of the public invest in cryptocurrencies and initial coin offerings, questions have arisen regarding the SEC’s role in regulating these markets. SEC Chairman Jay Clayton released a statement last month [...] Read more
January 7 2018
Failure to Comply with Custody and Books and Records Rules and for Failure to Adopt Appropriate Written Policies and Procedures The SEC has ordered Registered Investment Adviser Southwind Associates of NJ Inc. (“Southwind,” “Adviser,” “Firm”) to pay a civil penalty of $50,000. The order stems from the firm’s repeated failure to comply with [...] Read more