Integrated Investment Solutions Receives 2025 Annual SOC 1 Type 2 Report

Integrated Investment Solutions is proud to announce the successful completion of its 2025 Annual System and Organization Controls (SOC) 1 Type 2 examination. This milestone reinforces the firm’s steadfast commitment to upholding rigorous standards for security, availability, and confidentiality on behalf of its clients.

The SOC 1 Type 2 report, performed by an independent third-party auditor, assesses the design and operating effectiveness of internal controls related to financial reporting. This comprehensive review confirms that Integrated Investment Solutions’ systems and processes align with the strict criteria established by the American Institute of Certified Public Account...

Nov

07

New SEC marketing rule

On November 4, 2022, the amended Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”) goes into effect. The new Marketing Rule amends and merges two previous rules, the “advertising rule” (the former Rule 206(4)-1) and the “solicitation rule” (the former Rule 206(4)-3), into one overarching rule that regulates the marketing of investment advisers. In addition, Rule 204(2) “Books and Records” as well as Form ADV have been amended to address the changes. This memorandum will specifically address the impact of the New Marketing Rule on broker dealers marketing investments to potential investor...

Apr

08

Small Firm Relief Regarding Annual Assessments

FINRA, Small Firm Relief

FINRA recognizes the current economic turbulence the spread of COVID-19 has caused small firms, in particular. With that in mind, FINRA is providing temporary relief for small firms with respect to 2020 Gross Income Statements and Personal Assessments (Annual Assessments).

Generally, payment of Annual Assessments is due in full within 30 days of receipt or in four quarterly installments. In 2020, FINRA is permitting small firms—identified under the FINRA By-Laws as having no more than 150 registered persons—to treat 2020 Annual Assessments as billed as of August 1, 2020, rather than as due upon receipt in April. Further, small firms that choose to do so will be allowed to pay 50 p...