A FINRA arbitration panel recently upheld Charles Schwab & Co.’s arbitration agreement…
Read MoreAre More Private Equity Enforcement Actions On the Horizon?
The SEC has traditionally targeted private equity funds far less than hedge…
Read MoreThe SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About?
Last week, we talked about the helpful heads-up that the SEC provided…
Read MoreAdviser Compliance for 2013, Part III: Make Sure Your IARD Account Is Funded
Before you submit your annual ADV updating amendment, the Investment Adviser Registration…
Read MoreThe SEC Gives a Heads-Up: Investment Adviser Exam Priorities for 2013
The SEC posted its examination priorities for 2013 on its website on…
Read MoreHow Can Hedge Funds Prepare For Tougher Oversight?
The SEC has made it clear that hedge funds will continue to…
Read MoreTime to Calculate Your Assets Under Management and Check It Twice
Registered investment advisers are required to update their Form ADV Part 1…
Read MoreAdviser Compliance for 2013, Part II: Annual Privacy Notices
In this heightened enforcement environment, it is increasingly important for advisers to…
Read MoreWill New SEC Head Mary Jo White Offer Fresh Perspective?
President Obama recently tapped Mary Jo White to head the SEC. In…
Read MoreFINRA Enters Crowdfunding Mix
While the crowds are waiting for the SEC to act, FINRA is…
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