In the wake of the devastating storm that ravaged much of the…
Read MoreBroker-Dealers: Do You Know How To Keep a Secret?
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released a…
Read MoreSEC Proposing to Extend Principal Trading Rule
The SEC has proposed to extend the sunset for the temporary principal…
Read MoreSEC Warns Advisers ADV Forms Are Not the Place to Boast
The SEC is reportedly cracking down on advisors who exaggerate their education…
Read MoreFINRA Wants to Link Your Firm Website to BrokerCheck
FINRA wants to make it easier for clients to check out your…
Read MoreHedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules
The JOBS Act will soon allow hedge funds to advertise to a…
Read MoreState Securities Regulators Outline the Good, the Bad, and the Ugly
Using the data collected in their examinations of broker-dealers, the North American…
Read MoreDoes It Add Up? Regulators Scrutinizing Assets Under Management
As predicted, securities regulators are increasing their scrutiny of advisers’ assets under…
Read MoreSEC Stepping Up Scrutiny of Private Equity Funds
After receiving the proxy for greater oversight of money-managers by Dodd-Frank, there…
Read MoreState Regulators Are Off to the Races: Enforcement Actions on the Rise
Even before many mid-sized advisers made the switch to state oversight, local…
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