FINRA Certification Period

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Today starts the 30 day FINRA Certification Period for Super Account Administrators. According to the message sent out by FINRA: One of the responsibilities of FINRA Super Account Administrators (SAA) is to ensure that users in their organization who require … Continued

Good Riddance SEC? Not so Fast.

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We now know that at the $90 million asset under management threshold, approximately 3,300 SEC-registered advisers will be required to transition to registration with one or more states. Quite a few of these transitioning SEC advisers are positively giddy with … Continued

Massachusetts Adopts New Regs

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From the Massachusetts Securities Division: The Massachusetts Securities Division (the “Division”) is adopting, as amended from the original proposals, regulations found at 950 CMR 12.200 et. seq. (the “Regulations”). With the exception of 950 CMR 12.205(9)(c)(16), the adopted regulations shall … Continued