Investment Adviser Regulation

Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)

Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

We were recently reminded of how difficult it is to re-register for a position in the securities industry after being barred.  See https://www.sec.gov/litigation/admin/2021/ia-5682.pdf.

On February 9, 2021, the United States
Continue Reading Leaving is the Hardest Part Especially if You Want to Re-Enter the Securities Industry

Recently, the Office of Compliance Inspections and Examinations (“OCIE”) released an alert to broker-dealers and registered investment advisers regarding the risks associated with credential stuffing.  See https://www.sec.gov/files/Risk%20Alert%20-%20Credential%20Compromise.pdf.

Credential stuffing is
Continue Reading The Dark Side Strikes Again: No, Not the SEC, Hackers and Credential Stuffing

The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning
Continue Reading SEC Readying to Hammer BDs and RIAs Over COVID19 Compliance Risks

The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have
Continue Reading The DOL: The New Securities Regulator?