RegComplianceWatch @IAWatch

Regulatory Compliance Watch shares news and guidance to help compliance professionals master federal securities rules. regcompliancewatch.com Rockville, MD Joined May 2011

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RegComplianceWatch @IAWatch

7 years ago

Views expressed on opening up private offerings to non-accredited investors bit.ly/2lUjBH4

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RegComplianceWatch @IAWatch

7 years ago

Roisman calls for best ex guidance, OPR review bit.ly/2nyXl5P

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RegComplianceWatch @IAWatch

7 years ago

Uncertainty exists whether Form CRS will affect institutional advisers bit.ly/2lTGlad

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RegComplianceWatch @IAWatch

7 years ago

New SEC rule seeks to ‘modernize’ ETF regulatory regime bit.ly/2m5osoF

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RegComplianceWatch @IAWatch

7 years ago

Asset freeze ordered against IA charged with $100M fraud bit.ly/2HCESwi

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RegComplianceWatch @IAWatch

7 years ago

A plan for smaller mutual fund advisers to comply with coming deadline bit.ly/32dJdOv

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RegComplianceWatch @IAWatch

7 years ago

Don’t play the blame game and increase the likelihood you’ll hear of trade errors bit.ly/32lIA5H

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RegComplianceWatch @IAWatch

7 years ago

New CFTC Chairman Tarbert lays out his priorities bit.ly/2YOOOMY

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RegComplianceWatch @IAWatch

7 years ago

A compliance staffer seeks to avoid work, deceives and is fired and barred bit.ly/2YEU6uJ

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RegComplianceWatch @IAWatch

7 years ago

Bringing to the forefront what you need to know about background checks bit.ly/2YJpmsq

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RegComplianceWatch @IAWatch

7 years ago

Hedge fund agrees to pay $160,000 for exceeding CFTC position limits bit.ly/2S7cIxF

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RegComplianceWatch @IAWatch

7 years ago

FINRA’s 2018 annual financial report reveals a $68 million loss bit.ly/2S1WLJ2

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RegComplianceWatch @IAWatch

7 years ago

Subscriber-suggested story: Proceed with caution if your firm plans a political fundraiser bit.ly/2S5Jn6K

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RegComplianceWatch @IAWatch

7 years ago

SEC soliciting feedback on harmonization of private securities offering exemptions bit.ly/2NnFXh8

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RegComplianceWatch @IAWatch

7 years ago

SEC Commissioner Peirce suggests ETF rulemaking is ‘long overdue’ bit.ly/2Neh1bN

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RegComplianceWatch @IAWatch

7 years ago

Record settlement reached in SEC’s ongoing investigation of ADR practices bit.ly/2NcD7LJ

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RegComplianceWatch @IAWatch

7 years ago

The mock interview should be a page in your SEC exam playbook bit.ly/2wB7LDg

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RegComplianceWatch @IAWatch

7 years ago

Falling for fake documents cost adviser and others in $364 million fraud bit.ly/2wzLaXR

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RegComplianceWatch @IAWatch

7 years ago

SEC set to return to the decades’ long issue of ‘solely incidental’ June 5 bit.ly/2wzL5U3

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RegComplianceWatch @IAWatch

7 years ago

CFTC proposes simplifying processes for registered DCOs bit.ly/30wsKoq

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Cole Beaubouef @BeaubouefC71665

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I am a Managing Director in the Investigations, Diligence and Compliance practice at Kroll, based in the D.C. area. Contact: Ebatista@kroll.com.

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FINRA/NASAA exams made EASY!
Securities Industry Essentials (SIE) | Series 6 | Series 7 | Series 63 | Series 65 | Series 66
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4 Followers 339 Following

Quality Assurance Adjusting Services, Inc provides High Quality Daily & CAT Claims Adjusters, Auto Damage Appraisers, Adjuster Licensing Classes and CE.

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We are the Institute of International Bankers, celebrating 60 years of advocating for foreign banks operating in the United States.

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Celebrating 30 Years of Community Banking!!
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👥Hometown People.
🏧Hometown Service.
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I'm a positive, driven and goal oriented person looking for similar individuals for inspiration, motivation and laughs. Probably coaching/watching 🏀 or 🏈

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Titan Regulation & Advisory is the premier provider of compliance solutions. | A Waystone Group Company
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The SEC protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation. Disclaimer: https://t.co/kQaurNTXAI

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House Committee on Financial Services
RM: @RepMaxineWaters
FB: https://t.co/3Zi6XOzVRJ
Insta: https://t.co/SeAJJLHMzM
YT: https://t.co/ntzuTOAClF

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