What’s New

Click HERE to see our most recent forms, training materials and webinars.

May 2021

Recent Blog Posts

• Texas Revokes IAR’s Registration Over Performance Fees

• NASAA Publishes Handbook for Prospective IAR CE Content Providers

  DOL Clarifies Fiduciary Advice Exemption for IRA Rollovers

• Legislative Proposals in Response to Archegos Capital Meltdown – Changes to 13(f) Filings, Limit Family Office Exemption and Prohibit Order Flow Payments

Upcoming Webinar

• Updating Solicitor Arrangements under SEC’s New Marketing Rule

New Sample Forms

• SEC Exam – Best Practices Checklist

Upcoming Conference

• RIA Compliance Connection 2021

April 2021

Recent Blog Posts

• Top 10 Reasons to Attend RIA Compliance Connection 2021

• Nebraska Enacts Law Giving Investment Advisers Ability to Protect Seniors and Vulnerable Adults from Financial Exploitation

• Scholarship for our 2021 RIA Compliance Connection Compliance Conference

March 2021

Recent Blog Posts

• • SEC Updates Form ADV Part 3/CRS FAQs for Investment Advisers

  • SEC Is Focusing on ESG Investing by RIAs

Upcoming Webinar

• • • Licensing IARs Under New York’s New Requirements

New Sample Forms

• • • IAR CE – Tracking Spreadsheets

Upcoming Conference

• • • RIA Compliance Connection Compliance Conference

February 2021

Recent Blog Posts

• • • SEC Adopts New Marketing Rule for Investment Adviser Advertising and Solicitation

Upcoming Webinars

• • • 2021 SEC Exam Priorities

New Sample Forms

• • • WSP/CoE Section Update – IAR Licensing in NY

    • Suitability – Leveraged/Inverse ETFs – Client Acknowledgement

January 2021

Recent Blog Posts

• • • SEC Adopts New Marketing Rule for Investment Adviser Advertising and Solicitation

    • NASAA Reminds RIAs to Contact Regulators Regarding Recent RIA Cybersecurity Incident

Upcoming Webinars

• • • SEC’s New Marketing Rule – Session 1 – Advertising

New Sample Forms

• • • Rep – Recruiting – New Firm Recommending Prospect Retain Attorney Before Affiliating

    • Suitability – Leveraged/Inverse ETFs – Client Acknowledgement

December 2020

Recent Blog Posts

• • • SEC Requires RIAs to Complete Risk Assessment as Part of Annual Compliance Review
    • SEC Issues Joint Statement on New FAQs Focusing on Disciplinary Disclosures for Form CRS/Form ADV Part 3

Upcoming Webinar

• • • Preparing a Compliance Calendar for 2021

November 2020

Recent Blog Posts

• • • SEC Roundtable on Regulation Best Interest and Form CRS
    • Preliminary Renewal Statements Available Monday
    • SEC Issues Joint Statement on New FAQs Focusing on Disciplinary Disclosures for Form CRS/Form ADV Part 3

Upcoming Webinar

• • • Best Practices to Reduce the Risk of Arbitration and Litigation

Newest Sample Forms

• • • Private Fund – Common Issues for Adviser to Private Fund