May 2020 – La Meer Inc.

Frequently Asked Questions on Regulation Best Interest

May 5, 2020
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Regulators

The staff of the Division of Trading and Markets have prepared the following responses to questions about Regulation Best Interest and expect to update from time to time our responses to additional questions. These responses represent the views of the…

SEC’s Office of Compliance and Examinations Risk Alert on Exams related to Form CRS dated April 7th 2020

May 3, 2020
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Regulators, Uncategorized

The Office of Compliance Inspections and Examinations (“OCIE”) isissuing this Risk Alert to provide SEC-registered broker-dealers andinvestment advisers (“firms”) with information about the scope and contentof initial examinations after the compliance date for Form CRS. Form CRS and its related…