The SEC has officially extended the sunset for the temporary principal trading…
Read MoreAdviser Compliance for 2013, Part I: Key Filing Deadlines
2012 was a very busy year regulation-wise. And early January is the…
Read MoreAdvisers Should Start Preparing to File Form ADV Amendments
It is that time of the year again! Registered investment advisers are…
Read MoreWhat’s On Tap for the SEC in 2013?
In its recent end of year report, the SEC laid out an…
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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