Performance Advertising
With Tina L. Mitchell, Lead Sr. Compliance Consultant | Performance advertising is a high focus area for SEC exams. Press play to learn more.
With Tina L. Mitchell, Lead Sr. Compliance Consultant | Performance advertising is a high focus area for SEC exams. Press play to learn more.
On October 8, 2015, the Securities and Exchange Commission (“SEC”), approved changes to Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2210 requiring FINRA member firms that have retail clients to include a link to FINRA’s BrokerCheck on their websites. BrokerCheck … Read More
June 2015
As increasing consideration is given to the use of social media in the financial industry, the Securities and Exchange Commission (“SEC”) continues to follow in step with evaluating new developments and concerns in its March 2014 Investment Management (IM) Guidance, … Read More
The Financial Industry Regulatory Authority (“FINRA”) approved an amendment to its Supervision Rule that will require firms to perform background checks on applicants for registration, in an announcement made in an April 24, 2014 press release. These background checks would … Read More
April 2014
At the end of each month, Core Compliance & Legal Services, Inc. (“Core Compliance”) publishes a Risk Management Update (RMU), an in-depth article written by one of our staff members on a currently relevant topic in compliance, securities, and investment … Read More
A proposed alteration to Rule 506 under Regulation D of the Securities Act of 1933 permitting issuers, including private investment funds (e.g., hedge funds), to advertise to a broad investor public was approved on July 10 by the Securities and … Read More