Registration Depository News Today

SEC-registered investment advisers are subject to an array of reporting and compliance obligations in order to maintain registered investment adviser status.

On October 16, 2023, the Securities and Exchange Commission's (the "SEC" or the "Commission") Division of Examinations (the "Division") released its 2024 examination priorities (the "Priorities").

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...

On April 12, 2023, the U.S. Securities and Exchange Commission ("SEC") approved the Financial Industry Regulatory Authority's ("FINRA") revised proposal to establish more difficult procedures for

Even if advisors get a disclosures removed from their records, the damage done online can be difficult to manage.

Regulators' amendment would prevent dealers who have been found liable from even trying to get records erased.

Exempt reporting advisers (ERA) have become a topic of interest for the U.S. Securities and Exchange Commission's (SEC) Division of Enforcement due in large part to their growing popularity...

FINRA is proposing a new rule that will make it more difficult for brokers to have customer complaints expunged from their publicly disclosed records. The proposed rule change, which...

Regardless of when the review takes place, registered advisers should be sure to document the review process and the outcomes of the review.

To embed, copy and paste the code into your website or blog: In its March 2021 Regulatory Notice 21-10, FINRA announced that it has updated the form that FINRA members use to file offering documents and related information regarding their participation in private placements. See FINRA Rule 5122[1] and Rule 5123.[2] The new form will be accessible in the FINRA Gateway as of May 22, 2021. The updated form will be used in connection with new filings and amendments to prior filings. The new form in...