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New Rule Could Force Hedge Funds to Snitch thumbnail

New Rule Could Force Hedge Funds to Snitch

Hedge funds could soon be faced with additional reporting obligations. The Financial Crimes Enforcement Network (FinCEN) will reportedly propose a new rule that would require hedge funds...

Newly Registered Advisers Should Be Prepared for SEC Examinations thumbnail

Newly Registered Advisers Should Be Prepared for SEC Examinations

Newly registered advisers should expect SEC examiners to come knocking in 2013. Last fall, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced that it would...

LinkedIn Adds Feature to Help Advisers Comply With Advertising Rules thumbnail

LinkedIn Adds Feature to Help Advisers Comply With Advertising Rules

SEC rules prohibit registered advisers from using testimonials, which include any statement of a client's experience with the adviser or a client's endorsement of the adviser. Most...

What’s Next? Hedge Fund Enforcement Priorities for 2013 thumbnail

What’s Next? Hedge Fund Enforcement Priorities for 2013

The SEC has brought more than 100 cases against hedge fund managers since 2010 and shows no signs of slowing down. No doubt, hedge funds will continue...

Update: SEC Extends Principal Trading Rule thumbnail

Update: SEC Extends Principal Trading Rule

The SEC has officially extended the sunset for the temporary principal trading rule under the Advisers Act.  It will now expire on December 31, 2014. Temporary Rule...

Adviser Compliance for 2013, Part I: Key Filing Deadlines thumbnail

Adviser Compliance for 2013, Part I: Key Filing Deadlines

2012 was a very busy year regulation-wise.  And early January is the ideal time for GCs, COOs, and key operations and finance personnel to plan the year...

Advisers Should Start Preparing to File Form ADV Amendments thumbnail

Advisers Should Start Preparing to File Form ADV Amendments

It is that time of the year again!  Registered investment advisers are required to file an amendment to Form ADV within 90 days of the firm’s fiscal...

What’s On Tap for the SEC in 2013? thumbnail

What’s On Tap for the SEC in 2013?

In its recent end of year report, the SEC laid out an ambitious list of goals and priorities for 2013.  Many of the initiatives reflect the agency’s...

Are Massachusetts Crowdfunding Actions a Sign of Things to Come? thumbnail

Are Massachusetts Crowdfunding Actions a Sign of Things to Come?

Massachusetts’s regulators recently filed fraud actions against two companies who sold unregistered securities to local investors. The cases could signal a new wave of enforcement actions as...

FINRA Pushes Compensation Proposal Forward thumbnail

FINRA Pushes Compensation Proposal Forward

FINRA is pushing ahead with its proposed rule to require brokers to provide compensation information their clients. The FINRA board announced earlier this month that it would solicit...

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