While Democrats and Republicans currently do not agree on much, lawmakers for…
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 MoreNew DOL Fiduciary Rule Expected in 2013
The Department of Labor’s controversial fiduciary rule is expected to reemerge in…
Read MoreWhere Do Advisers Stand on the Fiscal Cliff?
All eyes are on Washington, D.C. as Congress works to avoid sending…
Read MoreAre Massachusetts Crowdfunding Actions a Sign of Things to Come?
Massachusetts’s regulators recently filed fraud actions against two companies who sold unregistered…
Read MoreFINRA Pushes Compensation Proposal Forward
FINRA is pushing ahead with its proposed rule to require brokers to…
Read MoreCould Your Stellar Returns Trigger an SEC “Aberrational Performance Inquiry”?
The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011.…
Read MoreTop Tips For Dealing With Senior Investors
Federal and state regulators have made protecting senior investors one of their…
Read MoreOuch! State Actions Against Advisers Doubled in 2011
The number of enforcement actions involving investment adviser firms nearly doubled to…
Read MoreSEC Continues to Pursue Fraud Charges Against Hedge Funds
The SEC’s enforcement division continues to drop the hammer on hedge funds,…
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