NEWS

Public Sanctions Were Issued to 40 Individuals by the CFP Board – Avoid Being a Victim of This!

As a Certified Financial Planner, your professional responsibilities are governed by the ethical standards established by the CFP Board or Certified Financial Planner Board of Standards, Inc. Here is an example of why you need to be transparent about who you are when dealing...

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SEC under the Biden Administration Implement Enforced Regulations and RIA Compliance Services

Current Securities and Exchange Commission (SEC) Chairman Gary Gensler maintained a strict regulatory policy while Jay Clayton, the former SEC chairman, adopted a more lenient approach. Retail investors and registered investment advisors (RIAs) benefited from the SEC's new priorities under Gensler. However, the SEC's...

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What to Look For in a RIA Compliance Consultant or Officer for a RIA Firm

In accordance with SEC Rule 206(4)-7 pursuant to Investment Advisers Act of 1940, also known as the "Compliance Rule," a registered investment adviser (RIA) firm must designate a Chief Compliance Officer ("CCO") with experience in investment adviser compliance services and regulations. The following are some...

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Form ADV Part 3 Failure in Delivery and Filing Result in Charges Filed by the SEC Against 21 Investment Adviser Firms

Form CRS, also known as Form ADV Part 3 - an investment advisor's registration form - when it’s not delivered and file will fine the investment advisers.   According to the SEC or Securities and Exchange Commission, there are 21 investment advisers who have settled charges...

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Investment Advisor Options Account Activity to be Examined by FINRA

FINRA just announced that it is reviewing advisors' practices and controls associated with the opening of options accounts, as well as account supervision, diligence, communications, and other regulatory compliance consulting services. Targeted exams cover accounts that are self-directed as well as those where advisors...

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