Topic SEC Updates
Stay updated with the latest U.S. Securities and Exchange Commission (SEC) rules and regulations.
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.
SEC Staff Issues Bulletin on Duty of Care
The SEC have issued a Duty of Care bulletin for broker-dealers and investment advisers. Joot breaks down the core components what you need to know.
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.
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.
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.
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.
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.
Ten Jurisdictions Adopt New IAR Continuing Education Requirements
Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.
SEC Risk Alert: Safeguarding Customer Records and Info at Branch Offices
The SEC has recently released a Risk Alert on the importance of establishing written policies and procedures for safeguarding customer records and information at branch offices. Read on to learn more.
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.
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.
The Securities and Exchange Commission Announces Enforcement Actions for Fiscal Year 2022
The Securities and Exchange Commission has announced its enforcement actions for the fiscal year 2022, totaling over $6.5 billion in money ordered. Click here to read more.