Finding A Way.

But How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers

The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of 2012 took place earlier this week. The bill proposes to shift oversight over investment advisers...

Are You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers

The Securities and Exchange Commission (SEC) is in the process of identifying the unique risks presented by newly registered private equity (PE) and hedge funds, according to...

Do You Fit the Profile? SEC Releases More Data on Newly Registered Private Equity Funds

The Securities and Exchange Commission (SEC) recently released additional data regarding newly registered advisers to private equity funds and hedge funds.  The data reveals that the SEC...

FINRA Wants to Make It Easier To Clear Your Good Name

The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new rules that would make it easier for FINRA-regulated investment professionals to clear their names in...

Show Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules

The U.S. Securities and Exchange Commission (SEC) is creating a new method for determining the cost of its regulations, Chairman Mary Schapiro recently stated in testimony before...

Get Out the Shovel: SEC Digging Into New Hedge Fund Data

The Securities and Exchange Commission (SEC) has started to comb through the wealth of data it now has regarding newly registered hedge funds and other private funds....

Stoking the Fiduciary Fire: Debate Over Broker Oversight Heats Up

The debate over the fiduciary standard is rearing its head again, and my prediction is, will do so in the foreseeable future—should investment advisors and brokers-dealers be...

The Numbers Are In: Fewer Advisory Firms Switch to State Oversight

Fewer advisory firms than expected will be converting to state registration. As of April 5, just over 1,900 firms that are currently registered with the Securities and...

Investment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs

Legislation is currently pending in the U.S. House of Representatives that could dramatically change the regulatory landscape for registered investment advisers. On April 25, Financial Services Committee...

FINRA Adopts New Best Execution Rule

The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities and Exchange Commission to adopt a new best execution rule. FINRA Rule 5310 is the...

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