The Investment Advisers Act of 1940 (the Act) is the rulebook for…
Read MoreTop Tips For Dealing With Senior Investors
Federal and state regulators have made protecting senior investors one of their…
Read MoreSEC Proposing to Extend Principal Trading Rule
The SEC has proposed to extend the sunset for the temporary principal…
Read MoreBachus Op-Ed Reignites SRO Debate
Just when advisers thought Sen. Bachus had backed off his SRO bill,…
Read MoreRegulators Don’t “Like” How Advisers Are Using Social Media
Social media use by advisers is on the rise. A recent survey…
Read MoreBut How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers
The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of…
Read MoreShow Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules
The U.S. Securities and Exchange Commission (SEC) is creating a new method…
Read MoreInvestment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs
Legislation is currently pending in the U.S. House of Representatives that could…
Read MoreMutual Funds Won’t Register With CFTC Without a Fight
The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have…
Read MoreSEC Creates New Investor Advisory Committee: Will It Lead to More Informed Regulations?
The Securities and Exchange Commission (SEC) has announced the formation of a…
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