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Regulators
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Frequently Asked Questions on Regulation Best Interest

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 staff of the Division of Trading and Markets. They are not a rule, regulation, or […]...
RegulatorsUncategorized
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SEC’s Office of Compliance and Examinations Risk Alert on Exams related to Form CRS dated April 7th 2020

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 rules (“Form CRS”) require firms to deliver to retail investors a brief customer or client […]...
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La Meer releases GRACE Data Privacy V3.0 to address California Consumer Privacy Act

La Meer announces the GRACE for Data Privacy 3.0 to address the provisions of California Consumer Privacy Act (CCPA). California, a prologue to the 2018 bill explains, “is one of the world’s leaders in the development of new technologies and related industries. Yet the proliferation of personal information has limited Californians’ ability to properly protect […]...