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FINRA Offers Relief in Wake of Hurricane Sandy thumbnail

FINRA Offers Relief in Wake of Hurricane Sandy

In the wake of the devastating storm that ravaged much of the East Coast, many firms are struggling to keep their businesses up and running. Recognizing that...

Broker-Dealers: Do You Know How To Keep a Secret? thumbnail

Broker-Dealers: Do You Know How To Keep a Secret?

The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released a report about the results of examinations by the SEC, FINRA and the NYSE of broker-dealers...

SEC Proposing to Extend Principal Trading Rule thumbnail

SEC Proposing to Extend Principal Trading Rule

The SEC has proposed to extend the sunset for the temporary principal trading rule under the Advisers Act by another two years to December 31, 2014. Temporary...

SEC Warns Advisers ADV Forms Are Not the Place to Boast thumbnail

SEC Warns Advisers ADV Forms Are Not the Place to Boast

The SEC is reportedly cracking down on advisors who exaggerate their education or credentials on ADV forms. So while puffing may be acceptable at dinner parties, depending...

FINRA Wants to Link Your Firm Website to BrokerCheck thumbnail

FINRA Wants to Link Your Firm Website to BrokerCheck

FINRA wants to make it easier for clients to check out your background and credentials.  It has asked the SEC to sign off on a proposal that...

Hedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules thumbnail

Hedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules

The JOBS Act will soon allow hedge funds to advertise to a greater pool of investors, as long as the funds make sure that the investors are...

State Securities Regulators Outline the Good, the Bad, and the Ugly thumbnail

State Securities Regulators Outline the Good, the Bad, and the Ugly

Using the data collected in their examinations of broker-dealers, the North American Securities Administrators Association (NASAA) recently identified the most common compliance violations. State securities regulators conducted...

Does It Add Up? Regulators Scrutinizing Assets Under Management thumbnail

Does It Add Up? Regulators Scrutinizing Assets Under Management

As predicted, securities regulators are increasing their scrutiny of advisers’ assets under management (AUM).  Both the Securities and Exchange Commission (SEC) and state agencies are taking a...

SEC Stepping Up Scrutiny of Private Equity Funds thumbnail

SEC Stepping Up Scrutiny of Private Equity Funds

After receiving the proxy for greater oversight of money-managers by Dodd-Frank, there is rumbling that the SEC is stepping up its review of certain practices at private-equity...

State Regulators Are Off to the Races: Enforcement Actions on the Rise thumbnail

State Regulators Are Off to the Races: Enforcement Actions on the Rise

Even before many mid-sized advisers made the switch to state oversight, local regulators were already ramping up their enforcement efforts. The number of enforcement actions doubled last...

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