Joot Blog

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

Michigan Adopts New Continuing Education Requirements for IARs

May 17, 2022 3:35:20 PM / by Karen Mauk posted in Investment Advisers, SEC, Michigan

Prepare for Michigan’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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SEC Examination Priorities for 2022

Apr 12, 2022 3:43:57 PM / by Joot posted in SEC, SEC Examinations

Need help navigating the SEC’s 2022 exam priorities? Get our insights here.

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Maryland Adopts New Continuing Education Requirements for IARs

Dec 21, 2021 3:02:50 PM / by Karen Mauk posted in Investment Advisers, SEC, Maryland

Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule

Nov 30, 2021 4:44:44 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.

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Reality Check: Observations from Exams in the RIC Initiatives

Nov 9, 2021 1:56:26 PM / by Charles Black posted in SEC, SEC Examinations, Compliance, Disclosure, Policies, Compliance Testing, RIA, Managing Risk

Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.

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Social Media Advertising and the New SEC Marketing Rule

Sep 14, 2021 12:53:09 PM / by Charles Black posted in SEC, SEC Rule, SEC Updates, Compliance

Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.

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Reviewing and Approving Ads under the New SEC Marketing Rule

Aug 24, 2021 11:43:05 AM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.

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Take Note: Form ADV, Recordkeeping, and the New SEC Marketing Rule

Aug 10, 2021 12:22:35 PM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.

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Reality Check: Form CRS Failures and SEC Enforcement Actions

Aug 3, 2021 2:14:00 PM / by Alec Cheung posted in Enforcement, SEC, Compliance, Policies, RIA, Form CRS

Learn about the SEC’s recent enforcement actions in response to Form CRS failures and get help meeting regulatory obligations to ensure RIA compliance.

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5 Stars: Third-Party Ratings and the New SEC Marketing Rule

Jul 27, 2021 2:58:04 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Confused about how the new SEC marketing rule differentiates between third-party ratings, testimonials, and endorsements? Get some clarity here.

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Reality Check: Hypothetical Performance and the New SEC Marketing Rule

Jul 13, 2021 3:29:54 PM / by Charles Black posted in SEC, SEC Rule, SEC Updates, Compliance

Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.

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Rethinking RIA Compliance: Seeing CCO Liability through a New Lens

Jul 6, 2021 3:34:32 PM / by Bo J. Howell posted in SEC, Compliance, Policies, RIA

Get insights into the unique challenges CCOs face and tips for rethinking RIA compliance through the Framework for CCO Liability in the Financial Sector.

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