Finding A Way.

New Survey Suggests Advisers Are Closely Watching Presidential Election

Are advisers more afraid of an Obama second term or Congress? According to the Q1 2012 Brinker Barometer, White House worries come out on top. The Obama...

You Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration

Mid-sized advisers that are no longer eligible for SEC registration were required to register with their relevant state and withdraw their registration with the SEC no later...

FINRA’s New Suitability Rule in Effect

Brokers should be aware that FINRA’s new suitability rule took effect on July 9. The new suitability rule imposes broader obligations to oversee customer accounts and investment...

SEC Approves Form PF Fees for Registered Advisers

The Securities and Exchange Commission (SEC) has approved Form PF filing fees for registered investment advisers. As previously discussed on this RIA blog, newly SEC-registered advisers with at...

Update: Fate of RIA Oversight Will Not Be Decided This Month

The battle over who will oversee registered-investment advisers promises to continue into the summer. A vote of the Financial Services Committee on the Bachus SRO legislation has...

Are You Listening? SEC Offering Risk Management Advice to Newly Registered Private Equity Funds

As readers of my blog may have noticed, Securities and Exchange Commission (SEC) staff has been making the rounds at industry events and conferences in recent weeks....

What Should Private Equity Funds Expect If the SEC Comes Calling?

The Securities and Exchange Commission has indicated that it will take a risk-based approach” to the examination of newly registered advisers to private equity funds. But what...

Hedge Fund in Trouble With SEC for Misleading Investors About Having “Skin in the Game”

The Securities and Exchange Commission (SEC) has settled charges against a hedge fund adviser that misled investors about their executives having “skin in the game.” Apparently managers...

Regulators Don’t “Like” How Advisers Are Using Social Media

Social media use by advisers is on the rise. A recent survey by the Massachusetts Securities Division found that 44 percent of the state's investment advisers use...

Should Advisers Be Regulated by Robots?

These days, it seems like everyone has an opinion about who should oversee registered investment advisers. As we have discussed on this blog, a controversial bill pending...

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