NRS Insights Blog
May 18 2020 - NRS Insights
Morgan Stanley Penalized $5 Million for Insufficient Transparency in Wrap Trading Costs
The SEC and Morgan Stanley Smith Barney LLC (MSSB) settled charges that MSSB provided misleading information to clients in its retail wrap fee programs regarding trade execution services and transaction costs
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March 25 2020 - NRS Insights
SEC Extends ADV and PF Filing Deadlines and Eases Requirements for Advisers Impacted by COVID-19
On March 25 the SEC announced that it is further extending required filing and delivery deadlines for investment advisers whose ability to make timely filings has been affected by the coronavirus.
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March 23 2017 - NRS Insights
Adviser’s Act Amended to Require More Form ADV Information
The SEC recently amended the Investment Adviser’s Act of 1940 to add several new requirements to Form ADV reporting for Investment Advisers.
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