Read about the latest U.S. Securities and Exhange Commission (SEC) rules and regulations below.
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.
Are you ready for the new SEC marketing rule? Get our expert implementation tips here.
Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.
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.
Get a detailed breakdown of the Derivatives Rule Board Solution offered by Joot, FinTech Law, and EQ Risk Management Consulting.
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.
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.
Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.
Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.
Confused about how the new SEC marketing rule differentiates between third-party ratings, testimonials, and endorsements? Get some clarity here.
