FINRA recently launched a pilot program specifically designed for large arbitration cases…
Read MoreNew Bill Introduced to Maintain SEC Purview Over Registered Advisers
Representative Maxine Waters (D – CA) recently introduced an alternative proposal that…
Read MoreThe Burning Question for Advisers: Is the SRO Bill Really Dead?
Advisers can breathe a sigh of relief. The Investment Adviser Oversight Act…
Read MoreSEC Focused on Fees: Tips for Newly Registered Advisers
The SEC is really driving it home these days—registered advisers should pay…
Read MoreNew Survey Suggests Advisers Are Closely Watching Presidential Election
Are advisers more afraid of an Obama second term or Congress? According…
Read MoreYou Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration
Mid-sized advisers that are no longer eligible for SEC registration were required…
Read MoreFINRA’s New Suitability Rule in Effect
Brokers should be aware that FINRA’s new suitability rule took effect on…
Read MoreSEC Approves Form PF Fees for Registered Advisers
The Securities and Exchange Commission (SEC) has approved Form PF filing fees…
Read MoreUpdate: Fate of RIA Oversight Will Not Be Decided This Month
The battle over who will oversee registered-investment advisers promises to continue into…
Read MoreAre You Listening? SEC Offering Risk Management Advice to Newly Registered Private Equity Funds
As readers of my blog may have noticed, Securities and Exchange Commission…
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