Category: Florida Regulatory

Initial Thoughts on July 26th SEC Release: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

Post author By fundslawyer
Post date July 28, 2023
Categories In Articles and Information, Florida Regulatory

Josh Stone, InHouseEsq.com – 7/28/2023 I’ve taken a quick look at the July 26th SEC Release: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and […]

Recent SEC Examination Request Lists – Marketing Section

Here is a link to a helpful article about marketing-related items that the SEC has been requesting on recent exams: Recent SEC Examination Request Lists – Marketing Section https://seccc.com/news/recent-sec-examination-request-lists-marketing-section/ Article […]

Florida’s Governor has Proposed a Ban on Digital Currencies Issued by Central Banks

“Florida Governor Ron DeSantis has proposed a law that would prohibit the use of a federally adopted central bank digital currency as money within the state…” https://seekingalpha.com/news/3949095-florida-governor-ron-desantis-calls-for-ban-on-cbdc

Holding Yourself Out

Investment advisers have flocked to South Florida over the last several years. Many smaller advisers have taken advantage of the following exclusion from the definition of “Investment Adviser.” Any person […]