RegComplianceWatch

Regulatory Compliance Watch shares news and guidance to help compliance professionals master federal securities rules.

[RegComplianceWatch @IAWatch]

Views expressed on opening up private offerings to non-accredited investors https://t.co/ajgBBnC1rM

[RegComplianceWatch @IAWatch]

Roisman calls for best ex guidance, OPR review https://t.co/I7IGU0itwt

[RegComplianceWatch @IAWatch]

Uncertainty exists whether Form CRS will affect institutional advisers https://t.co/HsTwoQoLbk

[RegComplianceWatch @IAWatch]

New SEC rule seeks to ‘modernize’ ETF regulatory regime https://t.co/YpUAjbqYHZ

[RegComplianceWatch @IAWatch]

Asset freeze ordered against IA charged with $100M fraud https://t.co/tU9faYXyCO

[RegComplianceWatch @IAWatch]

A plan for smaller mutual fund advisers to comply with coming deadline https://t.co/hvjyq9Z7aC

[RegComplianceWatch @IAWatch]

Don’t play the blame game and increase the likelihood you’ll hear of trade errors https://t.co/Ojk8XvrDsr

[RegComplianceWatch @IAWatch]

New CFTC Chairman Tarbert lays out his priorities https://t.co/84mckVi7cQ

[RegComplianceWatch @IAWatch]

A compliance staffer seeks to avoid work, deceives and is fired and barred https://t.co/7yXShHpfIL

[RegComplianceWatch @IAWatch]

Bringing to the forefront what you need to know about background checks https://t.co/0rMepocXjJ

[RegComplianceWatch @IAWatch]

Hedge fund agrees to pay $160,000 for exceeding CFTC position limits https://t.co/PzVdaBDDQ2

[RegComplianceWatch @IAWatch]

FINRA’s 2018 annual financial report reveals a $68 million loss https://t.co/ALiMwOgqqf

[RegComplianceWatch @IAWatch]

Subscriber-suggested story: Proceed with caution if your firm plans a political fundraiser https://t.co/8YlRha1Znn

[RegComplianceWatch @IAWatch]

SEC soliciting feedback on harmonization of private securities offering exemptions https://t.co/OMO2ykoYEj

[RegComplianceWatch @IAWatch]

SEC Commissioner Peirce suggests ETF rulemaking is ‘long overdue’ https://t.co/UUxAzyTRcy

[RegComplianceWatch @IAWatch]

Record settlement reached in SEC’s ongoing investigation of ADR practices https://t.co/qpMNpFEogf

[RegComplianceWatch @IAWatch]

The mock interview should be a page in your SEC exam playbook https://t.co/OMQnIDZwSv

[RegComplianceWatch @IAWatch]

Falling for fake documents cost adviser and others in $364 million fraud https://t.co/ceKVblJGag

[RegComplianceWatch @IAWatch]

SEC set to return to the decades’ long issue of ‘solely incidental’ June 5 https://t.co/GngklBoVS3

[RegComplianceWatch @IAWatch]

CFTC proposes simplifying processes for registered DCOs https://t.co/VdYyhhzTg9