Compliance Resources

REGULATORS & GOVERNMENT AGENCIES

U.S. Securities & Exchange Commission (SEC)

Commodity Futures Trading Commission (CFTC)

National Futures Association (NFA)

Federal Deposit Insurance Corporation (FDIC)

Federal Reserve Board -- Board of Governors

Financial Industry Regulatory Authority (FINRA)

Internal Revenue Service (IRS) -- Criminal Investigation Division

Office of the Comptroller of the Currency (OCC)

Office of Thrift Supervision (OTS)

North American Securities Administrators Association (association of state securities regulators)

Financial Services Authority – UK (FSA)

Autorité des marchés financiers (AMF, French Securities Regulator)

INFORMATION RESOURCES

Recent SEC No-Action Letters

Securities Acts and Related Rules

FINRA Notices to Members

Investment Adviser Association

Managed Funds Association

Investment Company Institute

Current News & Events

Department of Labor Imposes New Fiduciary Standards for Broker-Dealers
- Link to DOL final rule release

Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
- Link to SEC final rule release (PDF format)

Enforcement Action Against Investment Adviser for Improper Trade Allocations

Enforcement Action Relating to Improperly Calculated Advisory Fees

SEC Charges a BDC with Overvaluing Portfolio Assets

Enforcement Action Against Investment Adviser for Investing Clients in Fund Classes with 12b-1 Distribution Fees

updated 5/2/2016