The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011.…
Read MoreTop Tips For Dealing With Senior Investors
Federal and state regulators have made protecting senior investors one of their…
Read MoreOuch! State Actions Against Advisers Doubled in 2011
The number of enforcement actions involving investment adviser firms nearly doubled to…
Read MoreSEC Continues to Pursue Fraud Charges Against Hedge Funds
The SEC’s enforcement division continues to drop the hammer on hedge funds,…
Read MoreFINRA Releases Official Guidance for Adviser Arbitration Program
FINRA has released official guidance to investments advisers about the availability of…
Read MoreSEC Has Another Banner Year at Expense of Advisers
The SEC recently announced that it filed 734 enforcement actions in fiscal…
Read MoreLawmaker Calling on SEC to Revisit JOBS Act Proposal to Lift Advertising Ban
Sen. Carl Levin is calling on the SEC to revisit its proposal…
Read MoreFINRA Offers Relief in Wake of Hurricane Sandy
In the wake of the devastating storm that ravaged much of the…
Read MoreFINRA Arbitration Now Available to Advisers
Registered investment advisers are now eligible to participate in FINRA’s arbitration system,…
Read MoreConflict of Interest Remains Top SEC Priority
The SEC continues to identify conflicts of interest as a key focus…
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