- National Futures Association, Managed Futures Business (Series 31)
- General Securities Representative (Series 7)
- Uniformed Combined State Law Exam (Series 66)
- Insurance with State of Michigan and State of Texas
- Member of the State Bar of Texas
- Retired member of the Michigan, Illinois, and Federal bar associations
Okay, you are a SEC or state registered investment adviser, why do you need information from FINRA’s website? While FINRA may not regulate you for the time being, their website does offer plenty of good information and guidance. Plus, the IARD, is held on their system so it is a good idea to be able to navigate this site.
Let’s start with the FINRA Rules. FINRA does a good job referencing additional materials on each rule topic. Notice that when you click on a rule you will find a box in the upper right corner of the page that says, “Notices” and lists a number of links, click on the drop down arrow and you will find additional material that you can select to review. You can also find this material at the bottom of the page in the supplementary materials section. Always review the supplementary materials section of each rule for additional guidance.
Let’s start with the FINRA Rules. FINRA does a good job referencing additional materials on each rule topic. Notice that when you click on a rule you will find a box in the upper right corner of the page that says, “Notices” and lists a number of links, click on the drop down arrow and you will find additional material that you can select to review. You can also find this material at the bottom of the page in the supplementary materials section. Always review the supplementary materials section of each rule for additional guidance.
- Investment Advisors Act of 1940 related Rules
- Investment Company Act of 1940 related Rules
- Securities Act of 1933 related Rules
- Securities Exchange Act of 1934 related Rules
- Sarbanes-Oxley Act of 2002-1
- Dodd-Frank Wallstreet Reform and Consumer Protection Act of 2010
- Jumpstart Our Business Startups Act 2012
- Regulations S-P, S-AM and S-ID
You will be audited. Will you be ready?
When the regulator calls, you want your firm to shine.
Sapphire makes your compliance program efficient, effective and ready to withstand scrutiny.
Sapphire makes your compliance program efficient, effective and ready to withstand scrutiny.
REVIEWSWith Annual Compliance Reviews, Risk Assessments, and Mock Regulatory Examinations, we analyze your compliance program for flaws and cracks. Then, we get them repaired.
|
DOCUMENTATIONWe draft that documents that run your compliance program – Code of Ethics, Policies and Procedures and Business Continuity Plans. This means more than inserting your name into a template.
|
REGISTRATIONReady to open your doors? We assist new firms with the registration process at the state or SEC level.
Want to keep the doors open? We will review and revise your regulatory filings to ensure they meet current requirements. |
Please check here to see if there have been any revisions to the above laws.
For help interpreting the laws, rules and regulations, it can be useful to read the Releases for the proposed and final rules. But, as you know this isn’t the entire story. You may also want to review the no-action letters on the topic you are researching.
Then, there are the administrative proceedings to consider.
What about the civil lawsuits brought by the SEC in federal court? Find those here.
Finally, you should consider the topics the SEC’s National Exam Program finds interesting.
Do you need to file Form 13F? Here is the SEC’s FAQ for the filing of Form 13F and the list of Section 13(f) Securities
For help interpreting the laws, rules and regulations, it can be useful to read the Releases for the proposed and final rules. But, as you know this isn’t the entire story. You may also want to review the no-action letters on the topic you are researching.
Then, there are the administrative proceedings to consider.
What about the civil lawsuits brought by the SEC in federal court? Find those here.
Finally, you should consider the topics the SEC’s National Exam Program finds interesting.
Do you need to file Form 13F? Here is the SEC’s FAQ for the filing of Form 13F and the list of Section 13(f) Securities