Tag: RIA

Brokers Compliance News

SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers

June 23, 2022 —The Securities and Exchange Commission today adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to be filed or submitted electronically. The amendments also make technical amendments to modernize Form 13F and enhance the information provided. The amendments are […]

Investment Advisor

Brokers Say Moving to RIA Was Positive 

A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a generally positive attitude toward the RIA channel and signals a continuation of the migration trend.The findings from the 2019 Benchmarking and Independence report showed that 44% of brokers surveyed said the likelihood […]


Financial Adviser Legal Information Center

Ed: This section of SECLaw.com brings together commentary, news and links of interest to financial advisers.  Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the […]