Annual Audit Deadlines – 2020

Did you know leap years are needed to keep our calendar in alignment with the Earth’s trip around the sun? Without the extra day on February 29th, every four or so years, we would lose almost six hours every year. …

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SEC and FINRA: RIAs and Broker Dealer Updates

By Any Other Name: Those registered investment advisors who thought the Fiduciary Rule was dead should think again. The Department of Labor’s so-called Fiduciary Rule having died earlier this year is making a comeback in a different version. But more…

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“Red Flag” Rules apply to FCMs, CTAs, CPOs, BDs, and RIAs

The SEC and CFTC have jointly adopted and must individually enforce identity theft prevention rules as a result of the Dodd-Frank Act. The SEC and CFTC have adopted a joint rule requiring “financial institutions” and “creditors” that carry “covered accounts”…

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