Matthew T. Wirig

Publications

• Author, "US SEC Examination Priorities for 2021: What You Need to Know," Journal of Investment Compliance. June 2021.
• Author, "SEC Examination Priorities for 2021," Chapman Client Alert. March 4, 2021.
• Co-Author, "2021 Report on FINRA’s Risk Monitoring and Examination Activities," Chapman Client Alert. February 5, 2021.
• Co-Author, "SEC and FINRA Provide Road Map for Initial Regulation Best Interest Exams," Chapman Client Alert. April 10, 2020.
• Co-Author, "SEC and FINRA Issue Form CRS Exam Guidance," Chapman Client Alert. April 10, 2020.
• Co-Author, "FINRA 2020 Risk Monitoring and Examination Priorities," Chapman Client Alert. January 16, 2020.
• Co-Author, "SEC Examination Priorities for 2020," Chapman Client Alert. January 16, 2020. 
• Co-Author, "SEC Adopts Broker-Dealer “Best Interest” Standard, Disclosure Form and Investment Advisers Act Interpretations," Chapman Client Alert. June 5, 2019.
• Co-Author, "FINRA 2019 Risk Monitoring and Examination Priorities," Chapman Client Alert. February 6, 2019. 
• Co-Author, "Annual Investment Adviser Compliance and Regulatory Review," Chapman Client Alert. January 16, 2019. 
• Author, "SEC Examination Priorities for 2019," Chapman Client Alert. January 8, 2019.
• Co-Author, "SEC Extends AML No-Action Letter Allowing Broker-Dealers to Rely on Investment Advisers," Chapman Client Alert. December 18, 2018. 
• Co-Author, "SEC Proposes Broker-Dealer 'Best Interest' Standard, Disclosure Form, Title Restrictions and Investment Adviser Conduct Guidance," Chapman Client Alert. April 18, 2018.
• Co-Author, "SEC Staff Highlights Investment Adviser Fee Compliance Issues," Chapman Client Alert, April 16, 2018.
• Co-Author, "SEC Examination Priorities for 2018," Chapman Client Alert, February 8, 2018.
• Co-Author, "Annual Investment Adviser Compliance and Regulatory Review," Chapman Client Alert, January 31, 2018.
• Co-Author, “Investment Adviser Compliance Obligations and Regulatory Filings," Investment Adviser Regulation, Third Edition. The Practicing Law Institute. October 2017.
• Co-Author, "SEC Staff Issues Trio of No-Action Letters to Address MiFID II Research Payment Issues for Broker-Dealers and Investment Advisers," Chapman Client Alert, October 31, 2017.
• Co-Author, "FINRA Releases Guidance on Social Media and Digital Communications," Journal of Investment Compliance, Vol. 18, No. 3, pp. 48–51, doi: 10.1108/JOIC-06-2017-0030.
• Co-Author, "SEC Staff Highlights Investment Adviser Advertising Compliance Issues," Chapman Client Alert, September 19, 2017.
• Co-Author, "DOL to Propose Extension to DOL Fiduciary Rule Transition Period to July 1, 2019," Chapman Client Alert, August 9, 2017.
• Co-Author, "The SEC Provides New Custody Rule Guidance to Investment Advisers," Journal of Investment Compliance, Vol. 18, No. 2, pp. 9–12, doi: 10.1108/JOIC-04-2017-0021.
• Co-Author, "MSRB and FINRA Provide Guidance on New Rules Requiring Bond Mark-ups/Mark-downs on Trade Confirmations," Chapman Client Alert, July 14, 2017.
• Author, "SEC Seeks Public Comments on Standards of Conduct for Investment Advisers and Broker-Dealers," Chapman Client Alert, June 2, 2017.
• Co-Author, "DOL Confirms the Fiduciary Rule's June 9 Applicability Date—What to Expect from the Transition Period," Chapman Client Alert, May 24, 2017.
• Co-Author, “FINRA Releases Guidance on Social Media and Digital Communications,” Chapman Client Alert, May 4, 2017.
• Author, “MSRB Withdraws Proposed Rule on Minimum Bond Trading Denominations,” Chapman Client Alert, May 2, 2017.
• Co-Author, "FINRA Requests Comment on Rules Impacting Capital Formation and Proposes Amendments to the Corporate Financing Rule," Chapman Client Alert, April 21, 2017.
• Author, “FINRA Proposes Safe Harbor for “Desk Commentary” from Research Rule Requirements,” Chapman Client Alert, April 21, 2017.
• Co-Author, “DOL Fiduciary Rule Delayed to June 9, 2017,” Chapman Client Alert, April 5, 2017.
• Co-Author, “DOL Proposes 60-Day Fiduciary Rule Delay and Opens New Comment Period to Examine Rule,” Chapman Client Alert, March 1, 2017.
• Co-Author, “The SEC Provides New Custody Rule Guidance to Investment Advisers,” Chapman Client Alert, February 24, 2017. 
• Co-Author, “SEC Issues Guidance for Robo-Advisers,” Chapman Client Alert, February 24, 2017. 
• Author, “FINRA Rule Changes Requiring Bond Mark-ups/Mark-downs on Trade Confirmations to Become Effective May 14, 2018,” Chapman Client Alert, February 20, 2017. 
• Author, “FINRA Proposes Allowing Limited Customized Hypothetical Performance Projections,” Chapman Client Alert, February 15, 2017.
• Co-Author, “SEC Highlights Five Compliance Deficiencies Most Frequently Identified in Investment Adviser Examinations,” Chapman Client Alert, February 10, 2017. 
• Co-Author, “Trump Directs DOL to Review and Potentially Rescind or Revise Its Fiduciary Rule; No Specific Order to Delay Applicability Date,” Chapman Client Alert, February 3, 2017. 
• Co-Author, “SEC Examination Priorities for 2017,” Chapman Client Alert, January 24, 2017.
• Co-Author, "Annual Investment Adviser Compliance and Regulatory Review," Chapman Client Alert, January 9, 2017. 
• Co-Author, “FINRA 2017 Regulatory and Examinations Priorities,” Chapman Client Alert, January 9, 2017.
• Co-Author, “SEC Issues Mutual Fund Disclosure Guidance in Light of DOL Fiduciary Rule,” Chapman Client Alert, December 20, 2016.
• Co-Author, "MSRB Guidance on Broker-Dealer Obligations for RIA Customer Account Transactions," Chapman Client Alert, December 14, 2016.
• Co-Author, “FINRA Proposes Rule Changes Designed to Protect Seniors and Other Vulnerable Adults from Financial Exploitation,” Chapman Client Alert, November 4, 2016. 
• Co-Author, "SEC Approves Amendments to Rules Governing Communications with the Public," Chapman Client Alert, November 3, 2016.
• Co-Author, “MSRB 2017 Strategic Priorities and Recent Key Issues for Municipal Issuers, Underwriters, Dealers and Municipal Advisors,” Chapman Client Alert, October 31, 2016. 
• Co-Author, “Department of Labor Issues First Wave of FAQs to Explain Fiduciary Rule,” Chapman Client Alert, October 31, 2016.
• Co-Author, “FINRA Launches Sweep Exam on Broker-Dealer Cross-Selling Programs,” Chapman Client Alert, October 28, 2016.
• Co-Author, “SEC Approves New FINRA ‘Pay-to-Play’ Rules,” Chapman Client Alert, August 31, 2016. 
• Author, “SEC Adopts Disclosure, Reporting and Recordkeeping Changes for Registered Investment Advisers,” Chapman Client Alert, August 31, 2016.
• Author, “FINRA Proposes Changes to Its Gifts, Non-Cash Compensation and Business Entertainment Rules,” Chapman Client Alert, August 29, 2016.
• Author, “SEC’s OCIE Announces Share Class Examination Initiative,” Chapman Client Alert, July 14, 2016.
• Co-Author, “Business Continuity and Transition Plans: New Rule Proposals for Investment Advisers and Guidance for Investment Companies,” Chapman Client Alert, July 5, 2016.
• Co-Author, “FinCEN Publishes Its Final Rule on Customer Due Diligence Requirements for Legal Entity Customers,” Chapman Client Alert, May 23, 2016.
• Author, “FINRA Extends Implementation Date for Debt Research Rule to July 16, 2016,” Chapman Client Alert, April 22, 2016. 
• Co-Author, “FAQs—UITs and the New DOL Fiduciary Rule,” Chapman Client Alert, April 7, 2016.
• Co-Author, "Department of Labor Adopts Final Rules on Fiduciary Advice Definition and Conflict of Interest Rule," Chapman Client Alert, April 6, 2016.
• Co-Author, “SEC Issues Guidance on Fund Disclosure of Risks Related to Current Market Conditions,” Chapman Client Alert, March 11, 2016.
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review," Chapman Client Alert, January 26, 2016.
• Co-Author, “SEC Issues Guidance on Evaluation of Mutual Fund Sub-Accounting Fees,” Chapman Client Alert, January 15, 2016.
• Co-Author, “MSRB Adopts New Rules on Gifts, Gratuities and Non-Cash Compensation,” Chapman Client Alert, November 20, 2015.
• Co-Author, “FINRA Provides Additional Guidance on Broker-Dealer Liquidity Risk Management,” Chapman Client Alert, September 23, 2015. 
• Author, “SEC Announces Areas of Focus for 2015 Cybersecurity Examinations,” Chapman Client Alert, September 17, 2015. 
• Co-Author, “NFA Proposes Information Systems Security Program Requirements for Member Firms,” Chapman Client Alert, September 11, 2015.
• Author, “FinCEN Proposes Anti-Money Laundering Requirements for Investment Advisers,” Chapman Client Alert, September 2, 2015.
• Co-Author, “FINRA Adopts New Equity and Debt Research Rules,” Chapman Client Alert, September 2, 2015.
• Co-Author, “SEC Seeks Comments on FINRA Proposed Rule Changes Addressing External Personal Accounts of Associated Persons,” Chapman Client Alert, August 14, 2015. 
• Co-Author, “SEC Approves New FINRA Equity and Debt Research Rules,” Chapman Client Alert, July 27, 2015.
• Author, “SEC Seeks Comments on FINRA Proposal to Require Hyperlinks to BrokerCheck on Member Firms’ Websites,” Chapman Client Alert, July 27, 2015. 
• Author, “SEC Sets Compliance Date for Pay-to-Play Rule Prohibition on Certain Payments to Solicitors,” Chapman Client Alert, July 1, 2015.
• Co-Author, “SEC Issues Guidance on Exception to Personal Securities Transaction Reporting for Certain Accounts Where Reporting Person Has No Influence or Control,” Chapman Client Alert, July 1, 2015.
• Co-Author, “SIFMA Proposes “Best Interests of the Customer Standard for Broker-Dealers,” Chapman Client Alert, June 4, 2015.
• Author, “SEC Proposes Disclosure, Reporting and Recordkeeping Changes for Registered Investment Advisers,” Chapman Client Alert, May 26, 2015.
• Author, “SEC Proposes Disclosure and Reporting Changes for Registered Investment Companies,” Chapman Client Alert, May 26, 2015.
• Co-Author, “FINRA Allows Related Account Performance Information in Communications with Institutional Investors,” Chapman Client Alert, May 22, 2015.
• Author, “SEC Proposes Disclosure and Reporting Changes for Registered Investment Advisers and Investment Companies,” Chapman Client Alert, May 21, 2015.
• Co-Author, “SEC Provides Guidance on Cybersecurity to Investment Advisers and Funds,” Chapman Client Alert, April 30, 2015.
• Co-Author, “SEC to Examine Never-Before-Examined Registered Investment Companies,” Chapman Client Alert, April 23, 2015.
• Co-Author, “SEC Guidance on Gifts and Entertainment Received by Registered Fund Affiliates and Employees,” Chapman Client Alert, February 26, 2015.
• Co-Author, “SEC Examination Priorities for 2015,” Chapman Client Alert, January 29, 2015.
• Author, “FINRA 2015 Regulatory and Examinations Priorities,” Journal of Investment Compliance, Vol. 16 Issue: 2, pp.13-17, doi: 10.1108/JOIC-04-2015-0019.
• Author, “SEC Extends AML Relief:  Broker-Dealers May Rely on Investment Advisers to Perform CIP Obligations:  FinCEN Indicates Potential Investment Adviser AML Program Rule,” Chapman Client Alert, January 22, 2015.
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review,” Chapman Client Alert, January 5, 2015.
• Co-Author, “SEC Seeks Comments on New FINRA Equity and Debt Research Rules,” Chapman Client Alert, December 2, 2014. 
• Co-Author, “FINRA Seeks Comments on New Pay-to-Play Rule,” Chapman Client Alert, December 1, 2014.
• Co-Author, “SEC Seeks Comments on New MSRB Best Execution Rule,” Chapman Client Alert, September 3, 2014.
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review,” Chapman Client Alert, January 15, 2014.
• Co-Author, “SEC, CFTC and FINRA Joint Advisory on Business Continuity Planning,” Chapman Client Alert, August 23, 2013.
• Co-Author, “SEC Issues Relief Regarding Private Stock Certificates Under Advisers Act Custody Rule,” Chapman Client Alert, August 20, 2013. 
• Author, “CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies; SEC Issues Related Guidance,” Chapman Client Alert, August 15, 2013.
• Co-Author, “SEC’s Division of Investment Management Provides Guidance On Filing Requirements for Social Media and Other Interactive Content,” Chapman Client Alert, March 2013.
• Co-Author, “Commodity Developments Impacting Registered Investment Companies,” Chapman Client Alert, February 2013.
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review,” Chapman Client Alert, January 2013.
• Author, “CFTC Eliminates and Narrows Key Exemptions for Commodity Pool Operators and
• Commodity Trading Advisors,” Chapman Client Alert, March 2012.
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review,” Chapman Client Alert, February 1, 2012. 
• Co-Author, “SEC Adopts Revised Accredited Investor Definition,” Chapman Client Alert, December 2011.
• Co-Author, “SEC Seeks Comment on Revised FINRA Private Placements Rule,” Chapman Client Alert, November 2011. 
• Author, “SEC Adopts Final Dodd-Frank Investment Adviser Rules,” Chapman Client Alert, June 2011. 
• Author, “SEC and CFTC Propose Key Swap Definitions and Interpretive Guidance,” Chapman Client Alert, May 2011. 
• Author, “MSRB Draft Rules Governing the Conduct of Broker’s Brokers,” Chapman Client Alert, March 2011.
• Co-Author, “Dodd-Frank: Impact on Asset Management,” Chapman Client Alert, January 2011. 
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review,” Chapman Client Alert, January 2011.
• Author, “SEC Dodd-Frank Rulemaking: Venture Capital Fund Advisers,” Chapman Client Alert, December 2010.
• Author, “SEC Dodd-Frank Rulemaking: Smaller Private Fund Adviser Exemption,” Chapman Client Alert, December 2010.
• Co-Author, “SEC Dodd-Frank Rulemaking: Issues Applicable to Registered and Exempt Reporting Advisers,” Chapman Client Alert, December 2010.
• Co-Author, “Update on SEC Review of Derivative Use by Funds,” Chapman Client Alert, August 2010.
• Co-Author, “Issues Related to Advisers to Private Funds and Others in the Dodd-Frank Wall Street Reform and Consumer Protection Act,” Chapman Client Alert, August 2010.
• Co-Author, “Financial Regulatory Reform: Important Issues for Advisers to Private Funds,” Chapman Client Alert, June 2010.
• Co-Author, “Annual Investment Adviser Compliance and Regulatory Review,” Chapman Client Alert, January 2010.