Finding A Way.

SEC Brings First Action Under Chief Compliance Officer Rule

The SEC recently sanctioned a former portfolio manager  under Rule 38a-1(c) of the Investment Company Act, which prohibits misleading and obstructing a chief compliance officer (CCO).  Carl...

Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced the Investors Choice...

SEC Shows Its Teeth With Falcone Settlement

Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners, just became the first SEC targets to take part in the agency’s tough new...

Do You Have a Business Continuity Plan?

We are entering the height of hurricane season on the East Coast, a good time to reflect on how it could impact your business. If you don’t...

SEC Finally Lifts General Solicitation Ban

The SEC has finally approved a new rule to lift the ban on general solicitation or general advertising for certain private securities offerings. The rule amendments become...

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

A Practical Guide for Changes to Form ADV

A Practical Guide for Changes to Form ADV

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment Advisers Created Under Dodd-Frank

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment Advisers Created Under Dodd-Frank

A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration With the Sec As an Investment Adviser

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration With the Sec As an Investment Adviser

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