Class Action Waivers in Arbitration Agreements: Where Do We Stand?

A FINRA arbitration panel recently upheld Charles Schwab & Co.’s arbitration agreement…

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Are More Private Equity Enforcement Actions On the Horizon?

The SEC has traditionally targeted private equity funds far less than hedge…

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The SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About?

Last week, we talked about the helpful heads-up that the SEC provided…

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Adviser Compliance for 2013, Part III: Make Sure Your IARD Account Is Funded

Before you submit your annual ADV updating amendment, the Investment Adviser Registration…

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The SEC Gives a Heads-Up: Investment Adviser Exam Priorities for 2013

The SEC posted its examination priorities for 2013 on its website on…

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How Can Hedge Funds Prepare For Tougher Oversight?

The SEC has made it clear that hedge funds will continue to…

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Time to Calculate Your Assets Under Management and Check It Twice

Registered investment advisers are required to update their Form ADV Part 1…

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Adviser Compliance for 2013, Part II: Annual Privacy Notices

In this heightened enforcement environment, it is increasingly important for advisers to…

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Will New SEC Head Mary Jo White Offer Fresh Perspective?

President Obama recently tapped Mary Jo White to head the SEC. In…

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FINRA Enters Crowdfunding Mix

While the crowds are waiting for the SEC to act, FINRA is…

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