It is that time of the year again! Registered investment advisers are…
Read MoreInsider Trading Cases Continue to Mount Against Hedge Funds
Insider trading is increasingly becoming a top compliance concern for hedge fund…
Read MoreWhat’s On Tap for the SEC in 2013?
In its recent end of year report, the SEC laid out an…
Read MoreThe Crowd Is Calling For JOBS Act Rules
While Democrats and Republicans currently do not agree on much, lawmakers for…
Read MoreNew SEC Commissioner Calling For More Study of Fiduciary Rule
The SEC’s newest commissioner, Daniel Gallagher, is not afraid of jumping right…
Read MoreNew DOL Fiduciary Rule Expected in 2013
The Department of Labor’s controversial fiduciary rule is expected to reemerge in…
Read MoreWhere Do Advisers Stand on the Fiscal Cliff?
All eyes are on Washington, D.C. as Congress works to avoid sending…
Read MoreAre Massachusetts Crowdfunding Actions a Sign of Things to Come?
Massachusetts’s regulators recently filed fraud actions against two companies who sold unregistered…
Read MoreFINRA Pushes Compensation Proposal Forward
FINRA is pushing ahead with its proposed rule to require brokers to…
Read MoreCould Your Stellar Returns Trigger an SEC “Aberrational Performance Inquiry”?
The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011.…
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