Episode 84: New NASAA Continuing Education Requirements for IARs
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
What Investment Advisor Reps Need to Know About New York State’s New Registration Requirements
The Investor Protection Bureau (IPB) of the New York State Attorney General’s office has adopted regulations that took effect February 1, 2021, under which investment advisor representatives (IARs) of both federal and state investment advisory firms must register with the … Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
CEO Michelle Jacko‘s article, “Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?,” was published in the February 2021 issue of IAA’s Newsletter. In the article, Michelle discusses the evolving SEC guidance … Read More
NSCP Currents: Why Advisory Fees and Expenses Remain a Continued Regulatory Focus
CEO Michelle Jacko‘s article, “Why Advisory Fees and Expenses Remain a Continued Regulatory Focus,” was published in the January 2021 edition of the National Society of Compliance Professionals’ Currents newsletter.
Considerations for Advancing Your Compliance Program
As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More
SEC Provides Long-Awaited Guidance and Requests Comments to Help Protect Bitcoin Investors
When the price of a much-publicized asset increases 296% as Bitcoin did in 2020, it’s bound to attract attention from institutional investors, the general public, and the U.S. Securities and Exchange Commission (SEC). After taking 10 years since its creation … Read More
Tips and Trends to Help Advisers Prepare for SEC Examinations
2021 IAA Investment Adviser Compliance Conference | March 4, 2021 | Speakers: Michelle L. Jacko
Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021
Schwab Compliance Webinar | February 25, 2021 @ 1:00pm to 2:00pm PT | Speakers: Michelle L. Jacko
The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight
Regulatory Compliance Watch Webinar | February 2, 2021 @ 11:00am to 12:00pm PT | Speakers: Michelle L. Jacko
NASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives
The North American Securities Administration Association (NASAA) is a voluntary body composed of state securities regulators across all 50 states, Canada, and Mexico. Founded in 1919, it is the oldest international regulatory organization devoted to investor protection. Many in the … Read More