The Advisor as Fiduciary, 2015, Vol. 2

This is my favorite topic. If you read my last post, you…

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A Few Thoughts on The Financial Advisor as Fiduciary, 2015

A Few Thoughts on The Financial Advisor as Fiduciary, 2015

I was speaking at an event for hedge fund managers the other…

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Year In Review: Crowdfunding Round Up for 2013

Year in Review: Crowdfunding Round Up for 2013 It is the afternoon…

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SEC Brings First Action Under Chief Compliance Officer Rule

The SEC recently sanctioned a former portfolio manager  under Rule 38a-1(c) of…

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Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith…

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A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a…

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A Practical Guide for Changes to Form ADV

A Practical Guide for Changes to Form ADV

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment Advisers Created Under Dodd-Frank

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment…

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A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration With the Sec As an Investment Adviser

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration…

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