Joot

Joot provides experienced regulatory compliance services for RIAs and funds

[Joot @jootcompliance]

Recently, the SEC adopted Rule 13f-2 to increase transparency in short-selling data and an amendment to the current CAT NMS Plan to supplement short sale-data collection. Read on to see how this affects you.

https://t.co/zotAYL3sxp

#secrule #transparency #shortselling

[Joot @jootcompliance]

The SEC recently proposed a new rule, Rule 6b-1 under the Securities Exchange Act of 1934, to address volume-based exchange transaction pricing for NMS stocks. Click the link below to read the SEC’s full release and proposal.

https://t.co/vMqAm8h8pl

#stocks #investmentadvisers

[Joot @jootcompliance]

Last month, the Joot team met in Cincinnati to discuss our company's next milestones, share experiences in the compliance sector, feedback from our clients, and the upcoming conferences we will attend this year. Great team bonding!
#teambuilding #teambonding

[Joot @jootcompliance]

In September 2022, SEC Rule 2a-5 under the Investment Company Act took effect. Our latest blog breaks down key findings from SEC exams that should be implemented into every fair value process.

https://t.co/h4e5NGCPDR

#fairvalue #investmentadvisers

[Joot @jootcompliance]

The newly adopted @SECGov rule, Rule 10c-1a, will require certain confidential information to be reported to an RNSA to enhance the RNSA’s oversight and enforcement functions.

Click the link to read the full release.

#securities #sec #compliance #investmentadvisers

[Joot @jootcompliance]

The @SECGov recently adopted new amendments to the rules governing beneficial ownership reporting (Schedule 13D and 13G). Our latest blog breaks down the recent amendments and how they may affect your firm.

https://t.co/rpHeApTqSh

#reporting #compliance #investmentadvisers

[Joot @jootcompliance]

Joot’s Jessica Roeper recently attended the 2023 National Society of Compliance Professionals annual conference. In our latest blog, she breaks down key topics and takeaways.

https://t.co/NRRedOgNKB

#compliance #NSCP #investmentadvisers

[Joot @jootcompliance]

The SEC released its exam priorities for 2024. Our newest blog has broken down each section with commentary and highlights on what you need to know. Click the link to learn more.

https://t.co/GTm3QyqOYS

#compliance #secexam #investmentadvisers

[Joot @jootcompliance]

The SEC approved a rule to revise regulations under the Privacy Act. These new revisions codify current practices for processing requests made by the public under the Privacy Act.

Click to learn more.

https://t.co/LH81lBDNTN

#compliance #privacyact #investmentadvisers

[Joot @jootcompliance]

Don’t forget the annual renewal dates for investment advisers are coming soon. Visit the link below for more information, or contact the Joot compliance team for any assistance.

https://t.co/fjHc0gEDDE

#compliance #investmentadvisers

[Joot @jootcompliance]

Our Q3 2023 newsletter discusses recent SEC updates and industry changes, including the multiple rules planned for finalization in the near future. Click the link below to download.

https://t.co/FUSnAVkeZR

#compliance #compliancenews

[Joot @jootcompliance]

In October of 2022, the SEC adopted rule and form amendments that modernize the disclosure framework in shareholder reports. Here's what every fund manager should know about writing a shareholder letter.

https://t.co/LcAiLPUmQO

#shareholder #compliance

[Joot @jootcompliance]

Join Joot’s Jessica Roeper at the 2023 NSCP conference next week and prep for great discussions by downloading our Ultimate Guide to the Marketing Rule below.

https://t.co/DNJcGY3DZ4

#compliance #marketingrule #investmentadviser

[Joot @jootcompliance]

Last month, the @SECGov adopted amendments to Rule 35d-1, known as the “Fund Names Rule.” Here’s what they mean for you and your funds.

https://t.co/sjh0lB2fZv

#privatefunds #compliance #sec

[Joot @jootcompliance]

The @SECGov has charged RIA GlennCap, LLC, and its owner with cherry-picking. The SEC alleges GlennCap used this practice to favor certain clients over others. Click to read the case.

https://t.co/8sk95KXKcH

#sec #compliance #ria

[Joot @jootcompliance]

The @SECGov announced charges against nine registered investment advisers for Marketing Rule violations related to hypothetical performance advertisements. Click below to read about the case.

https://t.co/odV03OZ0cD

#marketingrule #compliance #investmentadvisers

[Joot @jootcompliance]

The @SECGov charged Prime Group Holdings, LLC, for failing to disclose the millions of dollars in real estate brokerage fees paid to a real estate brokerage firm owned by Prime Group’s CEO.

https://t.co/y0RllaS0qr

#compliance #realestate #investmentadvisers

[Joot @jootcompliance]

The @SECGov released a new risk alert discussing its exam process and factors affecting firm exam selection. Read our latest blog to learn more.

https://t.co/05oYCNrNr0

#compliance #secexam #investmentadvisers

[Joot @jootcompliance]

The @SECGov now requires all SEC-registered investment advisers to document their annual review of compliance policies and procedures. Reach out to Joot for any compliance questions or needs. Learn more here: https://t.co/LFoRGxWTSp

#compliance #investmentadvisers

[Joot @jootcompliance]

The @SECGov announced it has adopted new rules and amendments regarding private fund adviser regulation. Learn more about these rulings and what they mean for you in the latest Joot blog.

https://t.co/BEZW2wv1jZ

#compliance #privatefunds #investmentadvisers