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Important Year-End Reminders

 
Friday, April 3 2020
Date for Reg BI Remains Unchanged

Ramifications related to COVID-19 have spread far and wide. They range from only “essential business” remaining open to how we buy groceries and other goods to an extension for filing…

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Tuesday, March 31 2020
Zen Master’s Crypto: Celebrity Endorsements Require Disclosures

Joining a list of other celebrities to jump into the financial investment or fintech space, action movie star Steven Seagal is one that also faced charges for nondisclosure of compensation….

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Monday, March 30 2020
Making the Cut: Factors for Registrant Examination

Numerous factors are taken into consideration when the SEC’s Office of Compliance Inspections and Examinations (OCIE) compiles its annual list of registrants to audit. In a recent conference call conducted…

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Friday, March 27 2020
OCIE Observations on Cybersecurity and Resiliency Practices

On January 27, 2020, the Securities and Exchange Commission Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a ten-page report on examination observations related to cybersecurity and operational resiliency practices taken…

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Tuesday, March 24 2020
COVID-19 | Does it Change Ad Review and Compliance?

Although it may seem like the end of the world right now, regulators continue to operate in business as usual mode particularly with the market volatility and increased messaging to…

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Friday, February 28 2020
Regulation Best Interest for Advisers Only

Regulation Best Interest or Reg BI is a five-page Rule with a 770-page interpretation. Coupled with the 564-page instructions for Form CRS, the average advisor needs to read, understand, and…

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Friday, February 21 2020
Regulation Best Interest: What to Know as a Dual Registrant

On June 4, 2019, the SEC issued several sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. To curb the abuses…

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Wednesday, February 19 2020
2020 Advertising Review Software Challenges & Red Oak Solutions

As we end the second month of the year, we find ourselves asking if any of the 2020 predictions for the state of advertising review software are starting to gain…

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Monday, February 17 2020
2020 OCIE Priorities

If you haven’t had the chance to read through the full 2020 Examination Priorities from the Office of Compliance Inspections and Examinations (OCIE), we’ve pulled the compliance highlights that may…

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Wednesday, January 29 2020
FINRA Fines Prudential $1M for Wrong Info on Fees in Retirement Plans

Mark this in the category of “one more reason to have affective advertising compliance software.” Prudential Investment Management Services, LLC was recently fined for violating multiple FINRA rules from 2010…

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