Finding A Way.

A Practical Guide for Private Equity and Hedge Funds : Registration With the SEC As an Investment Adviser

A Practical Guide for Private Equity and Hedge Funds : Registration With the SEC As an Investment Adviser

A Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital Fund” Advisers from Advisers Act

A Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital Fund” Advisers from Advisers Act

Law Review Article on Crowdfunding Rules Urges SEC to “Keep It Light”

To date, the SEC has received nearly 200 comments on Title III of the JOBS Act, which aims to legalize equity crowdfunding.  As the clock continues to...

FINRA Conducting Social Media “Sweeps”

FINRA is currently conducting  “spot checks” of how broker-dealers are policing social media use. The examination letters rely on FINRA Rule 2210(c)(6), which states that each FINRA...

Is Policy Shift on the Way for SEC Settlements?

The SEC currently allows investment advisers and other registered entities to resolve enforcement actions without admitting fault. Press releases and SEC orders frequently state that the charged...

New FINRA Arbitrator Rules Take Effect July 1

FINRA’s new rules for arbitrators will take effect on July 1, 2013. The amendments change the definition of “public arbitrator” to exclude persons associated with a mutual...

Coalition Calls on SEC Not to Water Down Fiduciary Standard

On July 5, the deadline approaches for comments on the SEC’s cost-benefit analysis of a potential uniform fiduciary standard that would apply to RIAs and B-Ds alike....

SEC Adviser Exams: What to Expect When an Examiner Comes Knocking

Given recent statements by the SEC Chairman Mary Jo White, the SEC is committed to increasing adviser oversight through compliance exams.  It is no longer a question...

LPL Learns the Hard Way: Make Sure You Save Those Emails

FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million for several significant email system failures. The firm was also ordered to create a $1.5...

SEC Hoping to Take Control Over Adviser Oversight With Stepped Up Exams

The SEC continues its efforts to prove that it is up to the task when it comes to adviser oversight.  Chairwoman Mary Jo White recently testified before...

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