Whether or not 2014 will be the year of the alternative investments,…
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Pay attention to this one. Earlier this month, the SEC Office of…
Read MoreSEC Proposes Regulation A+ For Small Businesses
With all eyes focused on the lifting on the ban on solicitation…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreThe Annual Drill—Calculating Regulatory Assets Under Management for Form ADV
While working on the chapter on Regulatory Assets Under Management for my…
Read MoreSEC Issues Guidance on General Solicitation Rules
On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…
Read MoreSEC Examinations Targeting Advisers Who Are Still Waiting for Godot
I have worked with a number of advisers who have never ever…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreStop the Abuse—Elder Fraud Prevention and Privacy Laws
Several financial regulators, including the SEC, the CFTC, the FTC and the…
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