Finding A Way.

Protecting Your Start-Up’s Assets: The Non-Disclosure Agreement

For many start-ups, their greatest asset is a game-changing idea. To build the idea into a successful business, they will invariably need to share it with potential...

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for SEC-registered investment advisers (RIAs). The Advisers Act, together with the related rules adopted by the...

Friends and Family—A Good Funding Source?

It is tempting. It is difficult to raise funds from angels and VCs, especially when most of what you have is just an idea. I get it. ...

Mark Your Calendars for Your Annual Review

Before you even start reading this, go to Outlook or whatever calendar you use, pick a date, and put in “Annual Review.”  Any time in the year...

Mark Your Calendars: Key Compliance Dates for Advisers

It’s hard to believe that January is almost over and 2013 just a blur.   With matching speed, many of the compliance milestones that an investment adviser faces...

Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of Compliance Inspection and Examination issued its annual list of 2014 examination priorities for a variety...

Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it draws to a close, so I am doing a mini-series of posts on topic.  The...

Open for Comment: FINRA’s Funding Portal Rules

With all the noise about the proposed set of rules for crowdfunding the SEC released in October, one piece of the puzzle almost slipped by unnoticed. In...

The Annual Drill—Calculating Regulatory Assets Under Management for Form ADV

While working on the chapter on Regulatory Assets Under Management for my new book about Dodd Frank and the Advisers Act, I realized that now would be...

SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever been examined by the SEC, not once in their 10 +, 15+, etc. years of...

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