@IAWatch

Regulatory Compliance Watch shares news and guidance to help compliance professionals master federal securities rules.

 Rockville, MD
regcompliancewatch.com
Joined May 2011
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101Media
Views expressed on opening up private offerings to non-accredited investors bit.ly/2lUjBH4
Roisman calls for best ex guidance, OPR review bit.ly/2nyXl5P
Uncertainty exists whether Form CRS will affect institutional advisers bit.ly/2lTGlad
New SEC rule seeks to ‘modernize’ ETF regulatory regime bit.ly/2m5osoF
Asset freeze ordered against IA charged with $100M fraud bit.ly/2HCESwi
A plan for smaller mutual fund advisers to comply with coming deadline bit.ly/32dJdOv
Don’t play the blame game and increase the likelihood you’ll hear of trade errors bit.ly/32lIA5H
New CFTC Chairman Tarbert lays out his priorities bit.ly/2YOOOMY
A compliance staffer seeks to avoid work, deceives and is fired and barred bit.ly/2YEU6uJ
Bringing to the forefront what you need to know about background checks bit.ly/2YJpmsq
Hedge fund agrees to pay $160,000 for exceeding CFTC position limits bit.ly/2S7cIxF
FINRA’s 2018 annual financial report reveals a $68 million loss bit.ly/2S1WLJ2
Subscriber-suggested story: Proceed with caution if your firm plans a political fundraiser bit.ly/2S5Jn6K
SEC soliciting feedback on harmonization of private securities offering exemptions bit.ly/2NnFXh8
SEC Commissioner Peirce suggests ETF rulemaking is ‘long overdue’ bit.ly/2Neh1bN
Record settlement reached in SEC’s ongoing investigation of ADR practices bit.ly/2NcD7LJ
The mock interview should be a page in your SEC exam playbook bit.ly/2wB7LDg
Falling for fake documents cost adviser and others in $364 million fraud bit.ly/2wzLaXR
SEC set to return to the decades’ long issue of ‘solely incidental’ June 5 bit.ly/2wzL5U3
CFTC proposes simplifying processes for registered DCOs bit.ly/30wsKoq
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