Finding A Way.

FINRA Wants to Link Your Firm Website to BrokerCheck

FINRA wants to make it easier for clients to check out your background and credentials.  It has asked the SEC to sign off on a proposal that...

Hedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules

The JOBS Act will soon allow hedge funds to advertise to a greater pool of investors, as long as the funds make sure that the investors are...

State Securities Regulators Outline the Good, the Bad, and the Ugly

Using the data collected in their examinations of broker-dealers, the North American Securities Administrators Association (NASAA) recently identified the most common compliance violations. State securities regulators conducted...

Does It Add Up? Regulators Scrutinizing Assets Under Management

As predicted, securities regulators are increasing their scrutiny of advisers’ assets under management (AUM).  Both the Securities and Exchange Commission (SEC) and state agencies are taking a...

SEC Stepping Up Scrutiny of Private Equity Funds

After receiving the proxy for greater oversight of money-managers by Dodd-Frank, there is rumbling that the SEC is stepping up its review of certain practices at private-equity...

State Regulators Are Off to the Races: Enforcement Actions on the Rise

Even before many mid-sized advisers made the switch to state oversight, local regulators were already ramping up their enforcement efforts. The number of enforcement actions doubled last...

FINRA Considering Exemptions to Controversial Fee Hike

Earlier this summer, FINRA proposed a controversial fee hike that is not sitting well with financial services firms.  In many cases, fees could rise as much as...

Adviser Oversight Bill May Turn on How You Define “SRO”

While legislation regarding adviser oversight has slowed, the debate has not.  The latest facet of the debate is whether FINRA can really be characterized as an “independent...

SEC Issues Risk Alert on Pay-to-Play Rules

The SEC has issued a National Examination Risk Alert related to pay-to-play rules governing firms in the municipal securities business, not surprisingly a hot SEC topic considering...

Better Late Than Never: SEC Releases New Advertising and Solicitation Rules

The SEC has finally released its long-awaited proposed rules to eliminate the prohibition against general solicitation and general advertising for securities offerings relying on Rule 506.  As...

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