When registering with state securities regulators, advisers are generally asked to disclose…
Read MoreFINRA Annual Conference to Address Compliance Concerns
FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C.…
Read MoreInvestment Adviser Custody Rule Causing Headaches for Advisers
The SEC is warning advisers that it is increasingly finding violations of…
Read MoreSEC “Sweeps” to Target Distribution Fees and Alternative Funds
Less than one month after announcing its enforcement priorities, the SEC is…
Read MoreMary Jo White Commits to “Unrelenting Enforcement”
Mary Jo White’s roots as a federal prosecutor were evident in her…
Read MoreSEC Actions Confirm Uptick in Private Equity Enforcement Activity
Don’t tell me I didn’t tell you so! Just one week after…
Read MoreIt’s Back! The SEC Seeking Data on Potential Fiduciary Rule
On March 1, the SEC issued a long-awaited request for data from…
Read MoreAdviser Compliance for 2013, Part V: Tying up Loose Ends
Over the past several weeks, we have been outlining a compliance “to…
Read MoreNew Study Backs Up SEC’s Focus on Valuation
The SEC has targeted valuation as a serious compliance concern for private…
Read MoreLeaning In
Sheryl Sandberg’s book “Lean In” came out earlier this week with what…
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