The debate over the fiduciary standard is rearing its head again, and…
Read MoreThe Numbers Are In: Fewer Advisory Firms Switch to State Oversight
Fewer advisory firms than expected will be converting to state registration. As…
Read MoreInvestment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs
Legislation is currently pending in the U.S. House of Representatives that could…
Read MoreFINRA Adopts New Best Execution Rule
The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities…
Read MoreThe JOBS Act and Private Funds
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups…
Read MoreAdvisers and Brokers Beware: SEC Looking Beyond U.S. Borders
The Securities and Exchange Commission is currently working to expand its oversight…
Read MoreCould You Find an SEC Examiner in Your Boardroom?
Rather than taking a more hands off approach, the Securities and Exchange…
Read MoreMutual Funds Won’t Register With CFTC Without a Fight
The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have…
Read MoreUpdate on Contract Requirements for Newly Registered Advisers
Newly registered advisers to hedge funds and private equity funds are now…
Read MoreNovember Elections Renew Focus on “Pay to Play” Rules for Advisors
As election season gets into full swing, advisors should be cautious about…
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