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Stoking the Fiduciary Fire: Debate Over Broker Oversight Heats Up thumbnail

Stoking the Fiduciary Fire: Debate Over Broker Oversight Heats Up

The debate over the fiduciary standard is rearing its head again, and my prediction is, will do so in the foreseeable future—should investment advisors and brokers-dealers be...

The Numbers Are In: Fewer Advisory Firms Switch to State Oversight thumbnail

The Numbers Are In: Fewer Advisory Firms Switch to State Oversight

Fewer advisory firms than expected will be converting to state registration. As of April 5, just over 1,900 firms that are currently registered with the Securities and...

Investment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs thumbnail

Investment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs

Legislation is currently pending in the U.S. House of Representatives that could dramatically change the regulatory landscape for registered investment advisers. On April 25, Financial Services Committee...

FINRA Adopts New Best Execution Rule thumbnail

FINRA Adopts New Best Execution Rule

The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities and Exchange Commission to adopt a new best execution rule. FINRA Rule 5310 is the...

The JOBS Act and Private Funds thumbnail

The JOBS Act and Private Funds

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (JOBS Act).  While much of the attention has been focused on the benefits to...

Advisers and Brokers Beware: SEC Looking Beyond U.S. Borders thumbnail

Advisers and Brokers Beware: SEC Looking Beyond U.S. Borders

The Securities and Exchange Commission is currently working to expand its oversight of registered entities that operate beyond the borders of the United States. The agency recently...

Could You Find an SEC Examiner in Your Boardroom? thumbnail

Could You Find an SEC Examiner in Your Boardroom?

Rather than taking a more hands off approach, the Securities and Exchange Commission will step into the boardroom to gauge an advisory firm’s culture of compliance, according...

Mutual Funds Won’t Register With CFTC Without a Fight thumbnail

Mutual Funds Won’t Register With CFTC Without a Fight

The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have recently filed a lawsuit against the U.S. Commodity Futures Trading Commission (CFTC), contesting a new...

Update on Contract Requirements for Newly Registered Advisers thumbnail

Update on Contract Requirements for Newly Registered Advisers

Newly registered advisers to hedge funds and private equity funds are now subject to the provisions of the Investment Advisers Act of 1940 (Advisers Act).  The Advisers...

November Elections Renew Focus on “Pay to Play” Rules for Advisors thumbnail

November Elections Renew Focus on “Pay to Play” Rules for Advisors

As election season gets into full swing, advisors should be cautious about the campaign contributions they make. Under tough new “pay to play” rules adopted by the...

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