Joot Blog

Stay up to date with perspectives, news and updates pertaining to investment management technology, legal, compliance and more.

John Williams

Recent Posts

Thumbs-Up: Testimonials, Endorsements, and the New SEC Marketing Rule

Jun 15, 2021 7:30:00 AM / by John Williams posted in SEC, SEC Rule, SEC Updates, Compliance

Confused about which testimonials and endorsements the new SEC marketing rule permits? Get the plain facts here.

Read More

Six Latest COVID-19 Risk Observations From the SEC

Aug 27, 2020 10:15:00 AM / by John Williams posted in financial crisis, Covid, Managing Risk

by John Williams
Director of Compliance Services at Joot

The Securities & Exchange Commission recently issued a Risk Alert to share some of the observations that the Office of Compliance Inspections & Examinations (OCIE) have seen during the COVID-19 pandemic.

Read More

How to Prepare for an SEC or FINRA Regulatory Examination

May 21, 2020 4:15:00 PM / by John Williams posted in SEC, SEC Examinations

The words “SEC/FINRA exam” can trigger the jitters in most CCOs across the industry. They’re out to get me! Will they shut down my firm? Will I still have a job when they finish? Perhaps these thoughts and many others have crossed your mind when you got the dreaded phone call from your local SEC/FINRA office notifying you that you’ve been “selected” to go through an examination by their Staff.

Read More

A Preview of Examination Scope and Content for Regulation Best Interest and Form CRS

Apr 16, 2020 2:15:00 PM / by John Williams posted in Form CRS, Regulation Best Interest

Remember when you were in college studying for tests and you’d look for one of the fraternity/sorority test files to help you prepare?  Then you’d go into take the actual test and some of the questions were exactly the same and you knew the answer without even reading the entire question.  Well, folks, it isn’t often that the SEC gives us a sneak peak behind the exam curtain to tell us exactly what they’re looking for when they schedule a regulatory examination, but guess what?!  They just did that exact thing in one of their most recent OCIE Risk Alerts.

Read More