New Rule 506(c) — Are You Sure You Are Reasonable?

It went in effect yesterday. “It” being the SEC’s historic amendment to…

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Broker-Dealers to Face Tougher Custody Rules

The SEC recently adopted significant changes to the broker-dealer reporting rules.  The…

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Proposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban

SEC Chair Mary Jo White recently confirmed that the SEC will not…

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Are DOL and SEC Fiduciary Rules Headed for a Collision?

Two federal government agencies are currently working to create new fiduciary rules…

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SEC Brings First Action Under Chief Compliance Officer Rule

The SEC recently sanctioned a former portfolio manager  under Rule 38a-1(c) of…

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Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith…

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SEC Shows Its Teeth With Falcone Settlement

Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital…

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Do You Have a Business Continuity Plan?

We are entering the height of hurricane season on the East Coast,…

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SEC Finally Lifts General Solicitation Ban

The SEC has finally approved a new rule to lift the ban…

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A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a…

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