Two U.S. senators are proposing a bill that would authorize the SEC…
Read MoreFINRA’s New Suitability Rules Are Confusing for Brokers
FINRA’s new suitability rule took effect earlier this month. Per our prior…
Read MoreNew Hedge Fund Advertising Rules Due This Summer
The Securities and Exchange Commission (SEC) did not meet the July 4…
Read MoreWhat Can Investment Professionals Learn From the Titanic?
In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory…
Read MoreWhat’s Next for Advisers Now Under State Oversight?
Now that approximately 2,500 investment advisers with less than $100 million of…
Read MoreMost Clients Trust Their Adviser More Than Their Doctor
A new survey reveals that many Americans put great trust in their…
Read MoreFINRA Launches New Arbitration Pilot Program
FINRA recently launched a pilot program specifically designed for large arbitration cases…
Read MoreNew Bill Introduced to Maintain SEC Purview Over Registered Advisers
Representative Maxine Waters (D – CA) recently introduced an alternative proposal that…
Read MoreThe Burning Question for Advisers: Is the SRO Bill Really Dead?
Advisers can breathe a sigh of relief. The Investment Adviser Oversight Act…
Read MoreSEC Focused on Fees: Tips for Newly Registered Advisers
The SEC is really driving it home these days—registered advisers should pay…
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