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Common State Exam Deficiencies

Monday, March 17, 2014

We believe many states are finding deficiencies similar to what the Texas State Securities Board’s (“TSSB”) has published in their newsletter, “Texas Regulatory Review”. The TSSB’s recent publication offers insights into the common exam deficiencies they found for the first half of 2013.

It also offers clarification on TSSB’s view of what is and is not advertising and the books and records requirements. Finally they discuss the new 2011 rule that requires Advisers to obtain certain client profile information and update it every 3 years. Please click here to read the complete newsletter.

If you have any questions, please feel free to call us.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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