While the financial crisis wreaked havoc on many retirement accounts, it had…
Read MoreSEC Issues Social Media Guidelines For Investment Companies
The SEC had social media buzzing again. In March, the agency issued…
Read MoreState Securities Regulators Target Advisers in Legislative Agenda
The North American Securities Administrators Association (NASAA) recently announced it legislative priorities…
Read MoreState Regulator Wants Criminal Background Checks for Advisers
When registering with state securities regulators, advisers are generally asked to disclose…
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 MoreLinkedIn Adds Feature to Help Advisers Comply With Advertising Rules
SEC rules prohibit registered advisers from using testimonials, which include any statement…
Read MoreAdviser Compliance for 2013, Part I: Key Filing Deadlines
2012 was a very busy year regulation-wise. And early January is the…
Read MoreNew SEC Commissioner Calling For More Study of Fiduciary Rule
The SEC’s newest commissioner, Daniel Gallagher, is not afraid of jumping right…
Read MoreWhere Do Advisers Stand on the Fiscal Cliff?
All eyes are on Washington, D.C. as Congress works to avoid sending…
Read MoreDoes It Add Up? Regulators Scrutinizing Assets Under Management
As predicted, securities regulators are increasing their scrutiny of advisers’ assets under…
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