NQR Featured in Board IQ Article “Intermediary Won’t Give Up Info? SEC Feels Your Pain” - May 5, 2016

  “Intermediaries are cagey.  We get it…” Continue reading on boardiq.com  

SEC Announces National Examination Program Priorities for 2013 - March 6, 2013

On February 21, 2013, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2013 examination priorities for financial institutions.  The publication identifies the market-wide issues on which the SEC will be focused, and also the specific subjects of interest within the distinct areas of OCIE’s National Examination Program. For all SEC registrants, OCIE …

SEC Requests Data to Facilitate Its Consideration of a Uniform Rule for Investment Advisers and Broker-Dealers That Provide Personalized Investment Advice - March 3, 2013

On March 1, 2013, the Securities and Exchange Commission issued a request for information to aid the agency in its consideration of revisions to the respective standards of care imposed on investment advisers and broker-dealers when they provide personalized investment advice.  In particular, the SEC staff seeks quantitative data and economic analysis pertaining to existing …

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