Regulatory Updates

SEC’s 2018 Examination Priorities Letter- Office of Compliance Inspections and Examinations (OCIE)

2018 National Exam Program Examination Priorities

FINRA’s 2018 Regulatory and Examination Priorities Letter

2018 Regulatory and Examination Priorities Letter

FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123

“Updated Private Placement Filer Form“

United States Department of Labor – Employee Benefits Security Administration

“Conflicts of Interest Proposed Rule”

SEC’s Office of Compliance Inspections and Examinations and FINRA

“National Senior Investor Initiative”

Securities and Exchange Commission (“SEC”)

“Advisory Committee on Small and Emerging Companies Accreditor Investor Recommendations”

FINRA Regulatory Notice 15-02

“DPP and Unlisted REIT Securities”

Securities and Exchange Commission(Oct. 10, 2014)

“Release No. 34-73339; File No. SR-FINRA-
2014-006”

SEC Recommendation of the Investor as Purchaser Subcommittee and the Investor Education Subcommittee:  Accredited Investor Definition (2014)

SEC Office of Compliance Inspections and Examinations (Jan. 2014)

“Investment Adviser Due Diligence Processes For Selecting Alternative Investments and Their Respective Managers”