It went in effect yesterday. “It” being the SEC’s historic amendment to…
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The SEC recently adopted significant changes to the broker-dealer reporting rules. The…
Read MoreProposed 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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Two federal government agencies are currently working to create new fiduciary rules…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
Read MoreCongress Could Nix Mandatory Arbitration With Investors Choice Act
In light of the absence of SEC action on topic, Rep. Keith…
Read MoreSEC Shows Its Teeth With Falcone Settlement
Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital…
Read MoreDo You Have a Business Continuity Plan?
We are entering the height of hurricane season on the East Coast,…
Read MoreSEC Finally Lifts General Solicitation Ban
The SEC has finally approved a new rule to lift the ban…
Read MoreA 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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