Finding A Way.

The JOBS Act and Private Funds

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (JOBS Act).  While much of the attention has been focused on the benefits to...

Advisers and Brokers Beware: SEC Looking Beyond U.S. Borders

The Securities and Exchange Commission is currently working to expand its oversight of registered entities that operate beyond the borders of the United States. The agency recently...

Could You Find an SEC Examiner in Your Boardroom?

Rather than taking a more hands off approach, the Securities and Exchange Commission will step into the boardroom to gauge an advisory firm’s culture of compliance, according...

Mutual Funds Won’t Register With CFTC Without a Fight

The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have recently filed a lawsuit against the U.S. Commodity Futures Trading Commission (CFTC), contesting a new...

Update on Contract Requirements for Newly Registered Advisers

Newly registered advisers to hedge funds and private equity funds are now subject to the provisions of the Investment Advisers Act of 1940 (Advisers Act).  The Advisers...

November Elections Renew Focus on “Pay to Play” Rules for Advisors

As election season gets into full swing, advisors should be cautious about the campaign contributions they make. Under tough new “pay to play” rules adopted by the...

We’ve Registered Our Hedge Fund or Private Fund…Now What?

The oversight of the Securities and Exchange Commission (SEC) now extends to hundreds more advisers to hedge funds and private equity firms than the agency first predicted....

Keeping It in the Family: A Closer Look at the Registration Requirements for Family Offices

As we have previously discussed on this blog, the Securities and Exchange Commission (SEC) has adopted a new family office exclusion from the Investment Advisers Act of...

Debate Over Investment Adviser Oversight Likely to Heat Up

As the summer approaches, the debate over whether a new self-regulatory organization (SRO) should be created to oversee investment advisers is likely to heat up.  Lobbying efforts...

What Were FINRA’s Top Enforcement Priorities for 2011?

In 2011, enforcement actions and fines by the Financial Industry Regulatory Authority (FINRA) went up sharply. In fact, 2011 was the third year in a row FINRA...

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