FINRA Wants to Link Your Firm Website to BrokerCheck

FINRA wants to make it easier for clients to check out your…

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Hedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules

The JOBS Act will soon allow hedge funds to advertise to a…

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State Securities Regulators Outline the Good, the Bad, and the Ugly

Using the data collected in their examinations of broker-dealers, the North American…

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Does It Add Up? Regulators Scrutinizing Assets Under Management

As predicted, securities regulators are increasing their scrutiny of advisers’ assets under…

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SEC Stepping Up Scrutiny of Private Equity Funds

After receiving the proxy for greater oversight of money-managers by Dodd-Frank, there…

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State Regulators Are Off to the Races: Enforcement Actions on the Rise

Even before many mid-sized advisers made the switch to state oversight, local…

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FINRA Considering Exemptions to Controversial Fee Hike

Earlier this summer, FINRA proposed a controversial fee hike that is not…

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Adviser Oversight Bill May Turn on How You Define “SRO”

While legislation regarding adviser oversight has slowed, the debate has not.  The…

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SEC Issues Risk Alert on Pay-to-Play Rules

The SEC has issued a National Examination Risk Alert related to pay-to-play…

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Better 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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