Are advisers more afraid of an Obama second term or Congress? According…
Read MoreYou Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration
Mid-sized advisers that are no longer eligible for SEC registration were required…
Read MoreFINRA’s New Suitability Rule in Effect
Brokers should be aware that FINRA’s new suitability rule took effect on…
Read MoreSEC Approves Form PF Fees for Registered Advisers
The Securities and Exchange Commission (SEC) has approved Form PF filing fees…
Read MoreUpdate: Fate of RIA Oversight Will Not Be Decided This Month
The battle over who will oversee registered-investment advisers promises to continue into…
Read MoreAre You Listening? SEC Offering Risk Management Advice to Newly Registered Private Equity Funds
As readers of my blog may have noticed, Securities and Exchange Commission…
Read MoreWhat Should Private Equity Funds Expect If the SEC Comes Calling?
The Securities and Exchange Commission has indicated that it will take a…
Read MoreHedge Fund in Trouble With SEC for Misleading Investors About Having “Skin in the Game”
The Securities and Exchange Commission (SEC) has settled charges against a hedge…
Read MoreRegulators Don’t “Like” How Advisers Are Using Social Media
Social media use by advisers is on the rise. A recent survey…
Read MoreShould Advisers Be Regulated by Robots?
These days, it seems like everyone has an opinion about who should…
Read More