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Compliance Framework100 Wall Investments operates within a framework of federal, state, and self-regulatory oversight designed to protect investors. This page summarizes the regulatory structure that shapes how the firm operates and how client relationships are conducted.
100 Wall Investments' activities are shaped by oversight from federal regulators and self-regulatory organizations, including FINRA. This oversight touches nearly every area of the firm's operations:
In addition to federal and self-regulatory oversight, firms operating in New York are subject to state-level securities regulation. The New York Attorney General's Investor Protection Bureau plays a role in enforcing state securities law and investigating potential securities fraud within the state.
New York's Martin Act is one of the broadest securities-fraud statutes in the country, giving the New York Attorney General significant authority to investigate and act against securities fraud within the state — authority that in some respects extends beyond that of comparable federal statutes.
Clients working with 100 Wall Investments can expect to receive clear information about their relationship with the firm, including:
Financial professionals at 100 Wall Investments are registered in accordance with applicable securities regulations. Clients can review a professional's registration history and background through FINRA BrokerCheck, as well as through Form ADV and related filings available via the Investment Adviser Registration Depository (IARD).
Client information is handled in accordance with applicable privacy regulations, including Regulation S-P, which governs how financial firms collect, use, and safeguard nonpublic personal information belonging to clients.
100 Wall Investments maintains practices designed to detect and prevent money laundering and to verify the identity of its clients, consistent with applicable law. These practices include:
