In this heightened enforcement environment, it is increasingly important for advisers to…
Read MoreWill New SEC Head Mary Jo White Offer Fresh Perspective?
President Obama recently tapped Mary Jo White to head the SEC. In…
Read MoreFINRA Enters Crowdfunding Mix
While the crowds are waiting for the SEC to act, FINRA is…
Read MoreNew Rule Could Force Hedge Funds to Snitch
Hedge funds could soon be faced with additional reporting obligations. The Financial…
Read MoreNewly Registered Advisers Should Be Prepared for SEC Examinations
Newly registered advisers should expect SEC examiners to come knocking in 2013.…
Read MoreLinkedIn Adds Feature to Help Advisers Comply With Advertising Rules
SEC rules prohibit registered advisers from using testimonials, which include any statement…
Read MoreWhat’s Next? Hedge Fund Enforcement Priorities for 2013
The SEC has brought more than 100 cases against hedge fund managers…
Read MoreCycle for Survival
This is a bit out of scope for my blog, but I…
Read MoreUpdate: SEC Extends Principal Trading Rule
The SEC has officially extended the sunset for the temporary principal trading…
Read MoreAdviser Compliance for 2013, Part I: Key Filing Deadlines
2012 was a very busy year regulation-wise. And early January is the…
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