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New Rule 506(c) — Are You Sure You Are Reasonable? thumbnail

New Rule 506(c) — Are You Sure You Are Reasonable?

It went in effect yesterday. “It” being the SEC’s historic amendment to Rule 506, the new Rule 506(c), which permits general solicitation and advertising in securities offerings...

Broker-Dealers to Face Tougher Custody Rules thumbnail

Broker-Dealers to Face Tougher Custody Rules

The SEC recently adopted significant changes to the broker-dealer reporting rules.  The SEC proposed the changes to Rule 17a-5, Reports to be made by Certain Brokers and...

Proposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban thumbnail

Proposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban

SEC Chair Mary Jo White recently confirmed that the SEC will not delay the lifting of the ban on general solicitation over the additional disclosure rules proposed...

Are DOL and SEC Fiduciary Rules Headed for a Collision? thumbnail

Are DOL and SEC Fiduciary Rules Headed for a Collision?

Two federal government agencies are currently working to create new fiduciary rules for the investment industry, a process that several lawmakers fear will result in conflicting regulations....

SEC Brings First Action Under Chief Compliance Officer Rule thumbnail

SEC Brings First Action Under Chief Compliance Officer Rule

The SEC recently sanctioned a former portfolio manager  under Rule 38a-1(c) of the Investment Company Act, which prohibits misleading and obstructing a chief compliance officer (CCO).  Carl...

Congress Could Nix Mandatory Arbitration With Investors Choice Act thumbnail

Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced the Investors Choice...

SEC Shows Its Teeth With Falcone Settlement thumbnail

SEC Shows Its Teeth With Falcone Settlement

Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners, just became the first SEC targets to take part in the agency’s tough new...

Do You Have a Business Continuity Plan? thumbnail

Do You Have a Business Continuity Plan?

We are entering the height of hurricane season on the East Coast, a good time to reflect on how it could impact your business. If you don’t...

SEC Finally Lifts General Solicitation Ban thumbnail

SEC Finally Lifts General Solicitation Ban

The SEC has finally approved a new rule to lift the ban on general solicitation or general advertising for certain private securities offerings. The rule amendments become...

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

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