Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of…

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SEC Proposes Regulation A+ For Small Businesses

With all eyes focused on the lifting on the ban on solicitation…

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Year In Review: Crowdfunding Round Up for 2013

Year in Review: Crowdfunding Round Up for 2013 It is the afternoon…

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Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it…

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Open for Comment: FINRA’s Funding Portal Rules

With all the noise about the proposed set of rules for crowdfunding…

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The Annual Drill—Calculating Regulatory Assets Under Management for Form ADV

While working on the chapter on Regulatory Assets Under Management for my…

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SEC Issues Guidance on General Solicitation Rules

On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…

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SAC Capital, Insider Trading and the Southern District

It would be old news already if the case had not garnered…

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FINRA Cracking Down on “No Fee” Advertising

FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…

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SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever…

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