SEC’s 2019 Priorities Should Become Your Firm’s Priorities

SEC Priorities

Every year, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishes its examination priorities to address risks that are a potential threat to investors or the integrity of the U.S. capital markets. On December 20, 2018, OCIE released its 2019 examination priorities, which are available at These priorities...

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FINRA’s 529 Plan Share Class Initiative to Self-Report

finra 529

FINRA recently announced its 529 Plan share class self-reporting initiative in Regulatory Notice 19-04. This initiative is consistent with FINRA’s efforts to employ remote surveillance and to have broker-dealers promptly remedy potential supervisory and suitability violations relative to share class recommendations for 529 Plans. Broker-dealers are encouraged to self-report and...

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FINRA Issues Organizational Deficiencies

Finra deficiences

FINRA recently issued Organizational Deficiencies in Web CRD to several member firms seeking corrections to responses provided in item 10A: Control Affiliates of Form BD. Question 10A reads: “Directly or indirectly, does applicant control, is applicant controlled by, or is applicant under common control with, any partnership, corporation, or other...

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NCS Regulatory Compliance Expands Nationwide Operations

FOR IMMEDIATE RELEASE: Londonderry, N.H. – November 26, 2018 – NCS Regulatory Compliance, the nation’s leading regulatory compliance consulting firm, is pleased to announce that they have expanded into California and Atlanta.  Kerry Rider has joined the firm as Vice President, and will take the lead for their Los Angeles/West Coast...

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