Events & News

DOL Fiduciary Rule Struck Down by 5th Circuit Court

Causing more confusion for brokers, the 5th Circuit court struck down the DOL Fiduciary rule.  Meanwhile, the SEC moves toward providing more clarification. In a 2-1 decision to vacate the rule, it looks like implementation DOL Fiduciary rule will likely never…

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Senate Votes to Roll Back Some Dodd Frank Rules

Last Wednesday, the Senate voted 67 to 31 to apply sweeping changes to Dodd Frank. Since its signing in 2010, there had been concern that Dodd Frank had a negative impact on smaller banks and credit union.  The concern was…

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Annual Compliance Reminders

Commodity Trading Advisors 2.14.2018–Form PR (for December 31 year end) 3.1.2018–Affirm CTA exemptions (4.14(a)(8) Anniversary of registration–Self-Examination Checklist Commodity Pool Operators 3.1.2018–Affirm CPO exemptions (4.5 and 4.13) 3.1.2018–Registered Large CPO Form CPO-PQR  (for December 31 quarter end) 4.2.2018–Registered Mid-Size and Small…

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