Florida Regulatory Information
- Initial Thoughts on July 26th SEC Release: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisersby fundslawyerJosh 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 Investment Advisers, https://www.sec.gov/files/rules/proposed/2023/34-97990.pdf and below are my initial thoughts. I looked at it from the perspective of someone advising investment advisers, not broker-dealers. This list was not generated by AI. … Read more
- Recent SEC Examination Request Lists – Marketing Sectionby fundslawyerHere 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 Recent SEC Examination Request Lists – Marketing Section Article is by Janaya Moscony at SEC3
- Florida’s Governor has Proposed a Ban on Digital Currencies Issued by Central Banksby fundslawyer“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 Outby fundslawyerInvestment 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 who does not hold herself or himself out to the general public as an investment adviser and has no more than 15 clients within 12 consecutive months in this state. … Read more
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