Finding A Way.

Update: SEC Extends Principal Trading Rule

The SEC has officially extended the sunset for the temporary principal trading rule under the Advisers Act.  It will now expire on December 31, 2014. Temporary Rule...

Adviser Compliance for 2013, Part I: Key Filing Deadlines

2012 was a very busy year regulation-wise.  And early January is the ideal time for GCs, COOs, and key operations and finance personnel to plan the year...

Advisers Should Start Preparing to File Form ADV Amendments

It is that time of the year again!  Registered investment advisers are required to file an amendment to Form ADV within 90 days of the firm’s fiscal...

What’s On Tap for the SEC in 2013?

In its recent end of year report, the SEC laid out an ambitious list of goals and priorities for 2013.  Many of the initiatives reflect the agency’s...

Are Massachusetts Crowdfunding Actions a Sign of Things to Come?

Massachusetts’s regulators recently filed fraud actions against two companies who sold unregistered securities to local investors. The cases could signal a new wave of enforcement actions as...

FINRA Pushes Compensation Proposal Forward

FINRA is pushing ahead with its proposed rule to require brokers to provide compensation information their clients. The FINRA board announced earlier this month that it would solicit...

Could Your Stellar Returns Trigger an SEC “Aberrational Performance Inquiry”?

The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011. Under the initiative, the SEC uses proprietary risk analytics to evaluate hedge fund returns. Performance...

Top Tips For Dealing With Senior Investors

Federal and state regulators have made protecting senior investors one of their top priorities. In fact, the North American Securities Administrators Association recently reported that financial abuse...

Ouch! State Actions Against Advisers Doubled in 2011

The number of enforcement actions involving investment adviser firms nearly doubled to 399 in 2011, according to a recent report by the North American Securities Administrators Association...

SEC Continues to Pursue Fraud Charges Against Hedge Funds

The SEC’s enforcement division continues to drop the hammer on hedge funds, particularly those that overstate AUM and inflate reported returns. New Jersey-based hedge fund Yorkville Advisors...

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