Speculation is again growing about when the SEC will complete its rulemaking…
Read MoreWhen Do Private Funder Advisers Need to Register as a Broker-Dealer?
In remarks before the American Bar Association, David W. Blass, Chief Counsel,…
Read MoreLife’s Decisions
My friend Sarah Bellin is making a movie. It will be inspiring…
Read MoreFinancial Crisis Has Silver Lining For Advisers
While the financial crisis wreaked havoc on many retirement accounts, it had…
Read MoreHow Would Obama’s Budget Impact Advisers?
On April 10, President Barak Obama unveiled his 2014 budget. The plan…
Read MoreCrowdfunding, A Plain English Primer: The Main Players All Start With an “I”
When talking about crowdfunding, there are three main players. They are the…
Read MoreThere Is More To Crowdfunding Than the JOBS Act
Until the SEC finalizes rules to implement the JOBS Act, private fundraising,…
Read MoreWomen Entrepreneurs Rock The World
Usually I don’t like these summits that much, too many people, too…
Read MoreLawmakers Seeking to Ban “Unfair” Arbitration Agreements
Lawmakers, led by Sen. Al Franken, D-Minn., are calling on SEC Chairmen…
Read MoreBrokers Get Short Reprieve on Large Trader Requirements
The SEC extended the compliance deadline for certain large trader recordkeeping, reporting…
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