Events & News

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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CFTC Compliance Wrap Up 2018

Giving Chief Compliance Officers a Break: In August, the CFTC unanimously approved final amendments simplifying its regulations of chief compliance offer (CCO) duties and annual compliance reporting requirements for FCMs, swap dealers, and major swap participants.  The amendments clarify a…

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Be Prepared – Tax Law Impacts for 2018

The recently enacted Tax Cuts and Jobs Act (TCJA) has made several changes to the tax law.  Below we have summarized some of the changes we feel may affect some of our client base, mainly traders and investors. The TCJA suspended…

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