Tr?id=566623520170033&ev=PageView&noscript=1

ÍøÆØ³Ô¹Ï

Investment Advisors Brace for Influx of New Rules and Regulatory Changes

Posted on August 31st, 2023 at 1:08 PM
Investment Advisors Brace for Influx of New Rules and Regulatory Changes

From the desk of Jim Eccleston at ÍøÆØ³Ô¹Ï 

The Securities and Exchange Commission's (SEC) announcement in May 2021 about enforcing a landmark marketing rule, approved by the agency the previous December, caused a considerable stir among investment advisers.

According to InvestmentNews, the 430-page rule marked the first significant overhaul since 1961.

Worse, many advisors now find that the stress caused by the marketing rule was just the warm-up for what is to come. The Investment Adviser Association foresees the SEC's approval of numerous final rules, spanning hundreds of pages, which will take effect from January through the early Fall. This initiation signals the commencement of the compliance timeline for implementation, with deadlines potentially commencing as early as the beginning of 2025.

The regulatory changes from SEC Chair Gary Gensler's agenda are expected to impact not only investment advisers but also brokerage firms and registered representatives, which all are (or will be) gearing up for impending compliance challenges.

 

ÍøÆØ³Ô¹Ï LLC represents investors and financial advisors nationwide in securities, employment, transition, regulatory, and disciplinary matters.

Tags: eccleston, eccleston law

Return to Archive

TESTIMONIALS

Previous
Next
Quotes Bigger

ÍøÆØ³Ô¹Ï just wanted to say thanks for your work in helping us get back some of the money we lost. ÍøÆØ³Ô¹Ï are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. ÍøÆØ³Ô¹Ï really appreciate the work you did.

Allan and Adele

LATEST NEWS AND ARTICLES

1778171646 Law
May 7, 2026
FINRA Bars Former Raymond James Broker for Refusing Testimony in Unauthorized Trading Probe

A former registered representative with Raymond James has been barred from the securities industry after refusing to cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into alleged unauthorized trading activity.

1778084309 Law
May 6, 2026
FINRA Outlines Key Rulemaking Priorities and Recent Developments in Quarterly Agenda

The Financial Industry Regulatory Authority (FINRA) recently released its Quarterly Regulatory Policy Agenda, offering a detailed view of its rulemaking priorities, pending proposals, and recently approved regulatory changes.

1778000603 Law
May 5, 2026
Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and Exchange Commission, according to reporting by ThinkAdvisor.