What Is the Biggest Compliance Concern for Registered Investment Advisers?

If you guessed social media, you are correct! A recent survey conducted…

Read More

New Jersey Hedge Fund Facing Serious Charges

Recent fraud charges against a New Jersey hedge fund are making the…

Read More

Municipal Adviser Legislation Advancing in Congress

While the SRO bill is stalled, another piece of legislation impacting registered…

Read More

Bachus Op-Ed Reignites SRO Debate

Just when advisers thought Sen. Bachus had backed off his SRO bill,…

Read More

Are Tougher SEC Penalties on the Horizon?

Two U.S. senators are proposing a bill that would authorize the SEC…

Read More

FINRA’s New Suitability Rules Are Confusing for Brokers

FINRA’s new suitability rule took effect earlier this month. Per our prior…

Read More

New Hedge Fund Advertising Rules Due This Summer

The Securities and Exchange Commission (SEC) did not meet the July 4…

Read More

What Can Investment Professionals Learn From the Titanic?

In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory…

Read More

What’s Next for Advisers Now Under State Oversight?

Now that approximately 2,500 investment advisers with less than $100 million of…

Read More

Most Clients Trust Their Adviser More Than Their Doctor

A new survey reveals that many Americans put great trust in their…

Read More