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NRS Spring 2021 Virtual Compliance Conference
May 17-20, 2021
Join NRS Spring 2021 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
Upcoming Events
Industry Perspectives
Implement Effective Policies and Procedures to comply with the SEC’s Marketing Rule
On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices.
New ERISA Prohibited Transaction Exemption (PTE) Effective February 16
The US Department of Labor (DOL) announced that Prohibited Transaction Exemption (PTE) 2020-02, which governs conduct by 3(21) ERISA fiduciaries (generally those who provide non-discretionary advice for a fee), took effect on February 16, 2021. (Under Section 4975 of the Internal Revenue Code, this also applies to persons who provide non-discretionary advice to IRAs.)
