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 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…
Read MoreAdvisers Should Start Preparing to File Form ADV Amendments
It is that time of the year again! Registered investment advisers are…
Read MoreWhat’s On Tap for the SEC in 2013?
In its recent end of year report, the SEC laid out an…
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…
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