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FINRA Launches New Arbitration Pilot Program thumbnail

FINRA Launches New Arbitration Pilot Program

FINRA recently launched a pilot program specifically designed for large arbitration cases involving claims of $10 million or more. The program enables parties to customize the administrative...

New Bill Introduced to Maintain SEC Purview Over Registered Advisers thumbnail

New Bill Introduced to Maintain SEC Purview Over Registered Advisers

Representative Maxine Waters (D – CA) recently introduced an alternative proposal that would allow the SEC to maintain adviser oversight. The Investment Adviser Examination Improvement Act of...

The Burning Question for Advisers: Is the SRO Bill Really Dead? thumbnail

The Burning Question for Advisers: Is the SRO Bill Really Dead?

Advisers can breathe a sigh of relief. The Investment Adviser Oversight Act of 2012 appears to be dead, at least in the current session of Congress. House...

SEC Focused on Fees: Tips for Newly Registered Advisers thumbnail

SEC Focused on Fees: Tips for Newly Registered Advisers

The SEC is really driving it home these days—registered advisers should pay particular attention to any issues that may arise around fees and conflicts of interests. Officials...

New Survey Suggests Advisers Are Closely Watching Presidential Election thumbnail

New Survey Suggests Advisers Are Closely Watching Presidential Election

Are advisers more afraid of an Obama second term or Congress? According to the Q1 2012 Brinker Barometer, White House worries come out on top. The Obama...

You Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration thumbnail

You Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration

Mid-sized advisers that are no longer eligible for SEC registration were required to register with their relevant state and withdraw their registration with the SEC no later...

FINRA’s New Suitability Rule in Effect thumbnail

FINRA’s New Suitability Rule in Effect

Brokers should be aware that FINRA’s new suitability rule took effect on July 9. The new suitability rule imposes broader obligations to oversee customer accounts and investment...

SEC Approves Form PF Fees for Registered Advisers thumbnail

SEC Approves Form PF Fees for Registered Advisers

The Securities and Exchange Commission (SEC) has approved Form PF filing fees for registered investment advisers. As previously discussed on this RIA blog, newly SEC-registered advisers with at...

Update: Fate of RIA Oversight Will Not Be Decided This Month thumbnail

Update: Fate of RIA Oversight Will Not Be Decided This Month

The battle over who will oversee registered-investment advisers promises to continue into the summer. A vote of the Financial Services Committee on the Bachus SRO legislation has...

Are You Listening? SEC Offering Risk Management Advice to Newly Registered Private Equity Funds thumbnail

Are You Listening? SEC Offering Risk Management Advice to Newly Registered Private Equity Funds

As readers of my blog may have noticed, Securities and Exchange Commission (SEC) staff has been making the rounds at industry events and conferences in recent weeks....

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