If you guessed social media, you are correct! A recent survey conducted…
Read MoreNew Jersey Hedge Fund Facing Serious Charges
Recent fraud charges against a New Jersey hedge fund are making the…
Read MoreMunicipal Adviser Legislation Advancing in Congress
While the SRO bill is stalled, another piece of legislation impacting registered…
Read MoreBachus Op-Ed Reignites SRO Debate
Just when advisers thought Sen. Bachus had backed off his SRO bill,…
Read MoreAre Tougher SEC Penalties on the Horizon?
Two U.S. senators are proposing a bill that would authorize the SEC…
Read MoreFINRA’s New Suitability Rules Are Confusing for Brokers
FINRA’s new suitability rule took effect earlier this month. Per our prior…
Read MoreNew Hedge Fund Advertising Rules Due This Summer
The Securities and Exchange Commission (SEC) did not meet the July 4…
Read MoreWhat Can Investment Professionals Learn From the Titanic?
In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory…
Read MoreWhat’s Next for Advisers Now Under State Oversight?
Now that approximately 2,500 investment advisers with less than $100 million of…
Read MoreMost Clients Trust Their Adviser More Than Their Doctor
A new survey reveals that many Americans put great trust in their…
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