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A Practical Guide for Changes to Form ADV

A Practical Guide for Changes to Form ADV

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment Advisers Created Under Dodd-Frank

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment Advisers Created Under Dodd-Frank

A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration With the Sec As an Investment Adviser

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration With the Sec As an Investment Adviser

A Practical Guide for Private Equity and Hedge Funds : Registration With the SEC As an Investment Adviser

A Practical Guide for Private Equity and Hedge Funds : Registration With the SEC As an Investment Adviser

A Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital Fund” Advisers from Advisers Act

A Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital Fund” Advisers from Advisers Act

Law Review Article on Crowdfunding Rules Urges SEC to “Keep It Light” thumbnail

Law Review Article on Crowdfunding Rules Urges SEC to “Keep It Light”

To date, the SEC has received nearly 200 comments on Title III of the JOBS Act, which aims to legalize equity crowdfunding.  As the clock continues to...

FINRA Conducting Social Media “Sweeps” thumbnail

FINRA Conducting Social Media “Sweeps”

FINRA is currently conducting  “spot checks” of how broker-dealers are policing social media use. The examination letters rely on FINRA Rule 2210(c)(6), which states that each FINRA...

Is Policy Shift on the Way for SEC Settlements? thumbnail

Is Policy Shift on the Way for SEC Settlements?

The SEC currently allows investment advisers and other registered entities to resolve enforcement actions without admitting fault. Press releases and SEC orders frequently state that the charged...

New FINRA Arbitrator Rules Take Effect July 1 thumbnail

New FINRA Arbitrator Rules Take Effect July 1

FINRA’s new rules for arbitrators will take effect on July 1, 2013. The amendments change the definition of “public arbitrator” to exclude persons associated with a mutual...

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