For many start-ups, their greatest asset is a game-changing idea. To build…
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The Investment Advisers Act of 1940 (the Act) is the rulebook for…
Read MoreFriends and Family—A Good Funding Source?
It is tempting. It is difficult to raise funds from angels and…
Read MoreMark Your Calendars for Your Annual Review
Before you even start reading this, go to Outlook or whatever calendar…
Read MoreMark Your Calendars: Key Compliance Dates for Advisers
It’s hard to believe that January is almost over and 2013 just…
Read MoreSetting the Stage for 2014: SEC Announces Exam Priorities
Pay attention to this one. Earlier this month, the SEC Office of…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreOpen for Comment: FINRA’s Funding Portal Rules
With all the noise about the proposed set of rules for crowdfunding…
Read MoreThe Annual Drill—Calculating Regulatory Assets Under Management for Form ADV
While working on the chapter on Regulatory Assets Under Management for my…
Read MoreSEC Examinations Targeting Advisers Who Are Still Waiting for Godot
I have worked with a number of advisers who have never ever…
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