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Latest Content

SEC Delays Form N-PORT Submission Requirements

On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates for certain registered investment companies to submit data using the new Form N-PORT via the EDGAR system. The SEC delayed the initial reporting requirement for Form N-PORT, giving the agency time to review data security … Continued

Transparency Spreads to FINRA Exam Findings

On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination findings. While FINRA has annually released an examination priorities letter, this report is a first for examination findings. Why now? Credit FINRA’s new president and CEO, Robert W. Cook..  Since joining FINRA in 2016, Cook … Continued

Cyber Crimes – Don’t Forget to File that SAR!

  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and investment advisory communities. As pointed out in a 2016 advisory released by the Financial Crimes Enforcement Network (“FinCen”), “Cyber-events targeting financial institutions often constitute criminal activity and can serve as means to commit a wide range of … Continued

DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period, the industry will enter a period of further study for proper standards for disclosure or elimination of conflicted compensation arrangements. That’s a mouthful right there. The Obama administration’s March 31, 2017 implementation of various new prohibited … Continued

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