FINRA has released official guidance to investments advisers about the availability of…
Read MoreSEC Has Another Banner Year at Expense of Advisers
The SEC recently announced that it filed 734 enforcement actions in fiscal…
Read MoreLawmaker Calling on SEC to Revisit JOBS Act Proposal to Lift Advertising Ban
Sen. Carl Levin is calling on the SEC to revisit its proposal…
Read MoreFINRA Offers Relief in Wake of Hurricane Sandy
In the wake of the devastating storm that ravaged much of the…
Read MoreFINRA Arbitration Now Available to Advisers
Registered investment advisers are now eligible to participate in FINRA’s arbitration system,…
Read MoreConflict of Interest Remains Top SEC Priority
The SEC continues to identify conflicts of interest as a key focus…
Read MoreFINRA Offers Relief in Wake of Hurricane Sandy
In the wake of the devastating storm that ravaged much of the…
Read MoreBroker-Dealers: Do You Know How To Keep a Secret?
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released a…
Read MoreSEC Proposing to Extend Principal Trading Rule
The SEC has proposed to extend the sunset for the temporary principal…
Read MoreSEC Warns Advisers ADV Forms Are Not the Place to Boast
The SEC is reportedly cracking down on advisors who exaggerate their education…
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