Topic Regulations

At Joot, we're here to help you comply with SEC rules and regulations. Our content is designed to provide you with easy-to-understand regulatory advice and insights.

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05/23/2023

Crypto Moves Overseas

Cryptocurrency still faces regulatory confusion in the United States but has become more open and widespread in the UK and European Union. Bo Howell discusses.

Bo Howell

Cofounder, Managing Director, Joot

The Importance of Testing Compliance Procedures

Testing your compliance procedures is an integral piece of overall SEC compliance for registered investment advisors. Read on as we discuss the importance of testing your compliance procedures.

Jessica Roeper

Chief Compliance Officer, Joot

SEC Check-In: Four SEC Updates You Should Know About

The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.

Cody Foster

Digital Marketing Manager, Joot

The SEC Makes an Update to Their Marketing Rule FAQ: New Answers

The Securities and Exchange Commission’s Division of Investment Management issued another frequently asked question regarding the new Marketing Rule. Joot's compliance team breaks down the newest answer.

Charles Black

Managing Director, Head of Compliance Services, Joot

Form N-PX Amendment Reminder & What It Means for You

The SEC's new amendments for Form N-PX and Rule 14Ad-1 soon will affect RIAs and Registered Funds. See what these changes mean for you and your firm.

Cody Foster

Digital Marketing Manager, Joot

SEC Announces Risk Alert for Newly Registered Investment Advisers

The SEC's Division of Examinations recently announced a risk alert for newly registered investment advisors regarding compliance procedures. Read on to learn the key takeaways from the alert.

Cody Foster

Digital Marketing Manager, Joot

SEC Proposes Changes to Custody Rule

In mid-February the SEC announced proposed changes to the Custody rule in an effort to update and enhance investor asset protections. Read the Joot blog to learn more.

Cody Foster

Digital Marketing Manager, Joot

Why is Compliance Important?

RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.

Cody Foster

Digital Marketing Manager, Joot

This Week in FinTech & Compliance #4: SEC Charges Classic Asset Management for Breach of Fiduciary Duty

In this installment of This Week in FinTech & Compliance we discuss the SEC's bulletin on Duty of Care and their recent enforcement action against Classic Asset Management.

Cody Foster

Digital Marketing Manager, Joot

2023 Investment Adviser Association Compliance Conference Recap

Joot Managing Director and Head of Compliance Charles Black attended the 2023 IAA Compliance Conference. Read his recap and some key takeaways from the conference.

Charles Black

Managing Director, Head of Compliance Services, Joot

SEC Announces Exam Priorities for 2023: What's the Focus?

The SEC has announced its examination priorities for 2023. Read the latest Joot blog to learn more about the priorities and the overlap in previous years.

Cody Foster

Digital Marketing Manager, Joot

This Week in FinTech & Compliance #2: FTX & Crypto's Recent Rollercoaster Ride

In this second installment of "This Week in FinTech & Compliance" we provide some thoughts and commentary on the SEC's recent action against associates of crypto firm FTX.

Cody Foster

Digital Marketing Manager, Joot