FINRA wants to make it easier for clients to check out your…
Read MoreHedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules
The JOBS Act will soon allow hedge funds to advertise to a…
Read MoreState Securities Regulators Outline the Good, the Bad, and the Ugly
Using the data collected in their examinations of broker-dealers, the North American…
Read MoreDoes It Add Up? Regulators Scrutinizing Assets Under Management
As predicted, securities regulators are increasing their scrutiny of advisers’ assets under…
Read MoreSEC Stepping Up Scrutiny of Private Equity Funds
After receiving the proxy for greater oversight of money-managers by Dodd-Frank, there…
Read MoreState Regulators Are Off to the Races: Enforcement Actions on the Rise
Even before many mid-sized advisers made the switch to state oversight, local…
Read MoreFINRA Considering Exemptions to Controversial Fee Hike
Earlier this summer, FINRA proposed a controversial fee hike that is not…
Read MoreAdviser Oversight Bill May Turn on How You Define “SRO”
While legislation regarding adviser oversight has slowed, the debate has not. The…
Read MoreSEC Issues Risk Alert on Pay-to-Play Rules
The SEC has issued a National Examination Risk Alert related to pay-to-play…
Read MoreBetter Late Than Never: SEC Releases New Advertising and Solicitation Rules
The SEC has finally released its long-awaited proposed rules to eliminate the…
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