The Securities and Exchange Commission has indicated that it will take a…
Read MoreHedge Fund in Trouble With SEC for Misleading Investors About Having “Skin in the Game”
The Securities and Exchange Commission (SEC) has settled charges against a hedge…
Read MoreRegulators Don’t “Like” How Advisers Are Using Social Media
Social media use by advisers is on the rise. A recent survey…
Read MoreShould Advisers Be Regulated by Robots?
These days, it seems like everyone has an opinion about who should…
Read MoreBut How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers
The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of…
Read MoreAre You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers
The Securities and Exchange Commission (SEC) is in the process of identifying…
Read MoreDo You Fit the Profile? SEC Releases More Data on Newly Registered Private Equity Funds
The Securities and Exchange Commission (SEC) recently released additional data regarding newly…
Read MoreFINRA Wants to Make It Easier To Clear Your Good Name
The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new…
Read MoreShow Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules
The U.S. Securities and Exchange Commission (SEC) is creating a new method…
Read MoreGet Out the Shovel: SEC Digging Into New Hedge Fund Data
The Securities and Exchange Commission (SEC) has started to comb through the…
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