On July 5, the deadline approaches for comments on the SEC’s cost-benefit…
Read MoreSEC Adviser Exams: What to Expect When an Examiner Comes Knocking
Given recent statements by the SEC Chairman Mary Jo White, the SEC…
Read MoreLPL Learns the Hard Way: Make Sure You Save Those Emails
FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million…
Read MoreSEC Hoping to Take Control Over Adviser Oversight With Stepped Up Exams
The SEC continues its efforts to prove that it is up to…
Read MoreFINRA Enforcement Set to Break Records
FINRA is on pace to break its own enforcement records, based on…
Read MoreDo Advisers Need to Raise the Red Flag?
SEC recently finalized rules requiring investment advisers, and other entities under its…
Read MoreJOBS Act Update: Is There Rulemaking on the Horizon?
Speculation is again growing about when the SEC will complete its rulemaking…
Read MoreWhen Do Private Funder Advisers Need to Register as a Broker-Dealer?
In remarks before the American Bar Association, David W. Blass, Chief Counsel,…
Read MoreFinancial Crisis Has Silver Lining For Advisers
While the financial crisis wreaked havoc on many retirement accounts, it had…
Read MoreHow Would Obama’s Budget Impact Advisers?
On April 10, President Barak Obama unveiled his 2014 budget. The plan…
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