So Apple announced its new iPhone 6 etc. about an hour ago…
Read MoreMark Your Calendars for Your Annual Review
Before you even start reading this, go to Outlook or whatever calendar…
Read MoreMark Your Calendars: Key Compliance Dates for Advisers
It’s hard to believe that January is almost over and 2013 just…
Read MoreSetting the Stage for 2014: SEC Announces Exam Priorities
Pay attention to this one. Earlier this month, the SEC Office of…
Read MoreWelcome to the Club: Municipal Advisors Now Subject to SEC Scrutiny
The registered advisor community just got a little larger. The SEC recently…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read MoreCoalition Calls on SEC Not to Water Down Fiduciary Standard
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 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 MoreDo Advisers Need to Raise the Red Flag?
SEC recently finalized rules requiring investment advisers, and other entities under its…
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