Finding A Way.

Are Tougher SEC Penalties on the Horizon?

Two U.S. senators are proposing a bill that would authorize the SEC to hand down tough new penalties against registered investment professionals and their firms. The Stronger...

FINRA’s New Suitability Rules Are Confusing for Brokers

FINRA’s new suitability rule took effect earlier this month. Per our prior post, the rule imposes broader obligations to oversee customer accounts and investment strategies. At least...

New Hedge Fund Advertising Rules Due This Summer

The Securities and Exchange Commission (SEC) did not meet the July 4 deadline for proposing new advertising rules for hedge funds and private equity funds when soliciting...

What Can Investment Professionals Learn From the Titanic?

In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory Conference, FINRA’s head of Regulatory Policy, Thomas M. Selman, made a novel comparison between the...

What’s Next for Advisers Now Under State Oversight?

Now that approximately 2,500 investment advisers with less than $100 million of assets under management are transitioning to state oversight, the obvious question is what’s next? For...

Most Clients Trust Their Adviser More Than Their Doctor

A new survey reveals that many Americans put great trust in their advisers, despite how they may be portrayed in the media. In fact, the John Hancock...

FINRA Launches New Arbitration Pilot Program

FINRA recently launched a pilot program specifically designed for large arbitration cases involving claims of $10 million or more. The program enables parties to customize the administrative...

New Bill Introduced to Maintain SEC Purview Over Registered Advisers

Representative Maxine Waters (D – CA) recently introduced an alternative proposal that would allow the SEC to maintain adviser oversight. The Investment Adviser Examination Improvement Act of...

The Burning Question for Advisers: Is the SRO Bill Really Dead?

Advisers can breathe a sigh of relief. The Investment Adviser Oversight Act of 2012 appears to be dead, at least in the current session of Congress. House...

SEC Focused on Fees: Tips for Newly Registered Advisers

The SEC is really driving it home these days—registered advisers should pay particular attention to any issues that may arise around fees and conflicts of interests. Officials...

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