Michael Renetzky

Locke Lord LLP

+ Follow Contact

Latest Posts › Retail Investors

Share:

Regulation Best Interest: What You Need to Know to Prepare for the June 30, 2020 Compliance Date

On June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted to adopt two new rules intended to protect retail investors. ...more

7/11/2019 / Best Interest Standard , Broker-Dealer , Conflicts of Interest , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)

New Form CRS: What You Need to Know to Prepare For the June 30, 2020 Compliance Date

On Wednesday, June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted to adopt requirements for investment advisers and broker-dealers to prepare and file a Form CRS Relationship Summary. The Form CRS...more

6/12/2019 / Broker-Dealer , Conflicts of Interest , Form CRS , Investment Adviser , Investment Advisers Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)

SEC Office of Compliance Inspections and Examinations Release National Exam Program Examination Priorities for 2019

On December 20, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) issued its 2019 examination priorities letter. OCIE releases examination priorities...more

1/30/2019 / Cybersecurity , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , MSRB , OCIE , Popular , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC Opens Registration for National Compliance Outreach Seminar Following the Release of the SEC Office of Compliance Inspections...

On Tuesday, February 13, 2018 the Securities and Exchange Commission (“SEC”) announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers, which...more

2/14/2018 / Anti-Money Laundering , Cybersecurity , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , OCIE , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

4 Results

View per page

Page: of 1