Loading...
/Fairview Flash Reports
Fairview Flash Reports2017-06-19T17:48:33+00:00
Mar12, 2019

BB&T Subsidiary Must Pay $5.7 Million After Policy Violations

By |Mar 12th, 2019|Advisers Act, Broker-Dealers, Enforcement, Fairview® Flash Reports, Form ADV, News, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

BB&T Subsidiary Must Pay $5.7 Million After Policy Violations WHAT HAPPENED? On March 5, 2019, the U.S. Securities and Exchange Commission ordered BB&T Securities to pay $5.7 million following [...]

Dec20, 2018

OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications

By |Dec 20th, 2018|Advisers Act, Books and Records, Fairview® Flash Reports, News, Risk Alert, Technology, U.S. Securities and Exchange Commission|

OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications WHAT HAPPENED? On December 14th, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert [...]