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FINRA Notice to Members – More Than Just Rules

Friday, July 19 2019
Regulation Best Interest

For all intent and purposes, the DOL Rule was an absolute mess; a thousand pages of convoluted lawyer language. I don’t know why, but at this point in my life…

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Monday, July 15 2019
Staying Ahead in the Heart of the Storm

With Hurricane Florence barreling down on the east coast, it would be prudent for investment advisers across the country to take a step back and reexamine the measures they have…

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Friday, July 5 2019
SEC Proposes Changes to Margin Requirement for Security Futures

July 3rd – The Securities and Exchange Commission (SEC) announced today that it seeks to align the minimum margin required on security futures with other similar financial products. If the…

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Investment Advisers and Registration Requirements

The definition of investment adviser is a person or entity who engages in the business of advising others for compensation, either directly or through publications with respect to the value…

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Thursday, June 20 2019
SEC clears up confusion over advisers calling themselves fiduciaries

In the SEC’s recently approved Reg BI, the SEC requires a client relationship summary, the Form CRS. This document must be presented to clients and is meant to explain the…

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SEC Considering Changes to Private Offering Rules

The SEC has issued a Concept Release that is requesting comment on possible changes to the offering rules, including the “accredited investor” definition and the use of private funds to…

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Thursday, June 13 2019
Stephen Pope Speaks at TSAM

Red Oak founder, Stephen Pope, hosted a discussion titled “The Marketing Review Journey: The Untold Stories” at the TSAM Conference in New York. The session highlighted the genesis of marketing…

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Red Oak at TSAM in New York

Red Oak Compliance Solutions is New York bound for the TSAM Conference in NY! Visit with Carmela Ravi and Stephen Pope at our booth to learn how we can help…

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Saturday, June 8 2019
Regulation Best Interest, adopted Form CRS

On June 4, 2019, the SEC issued a number of sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. In an…

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Updating Policies and Procedures for Network Storage When Safeguarding Customer Records and Information

Employing network storage solutions, including security features offered by third-party cloud-storage providers, to safeguard customer records and information has increasingly become a part of many broker-dealer and investment adviser business…

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