But How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers

The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of…

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Are You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers

The Securities and Exchange Commission (SEC) is in the process of identifying…

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Do You Fit the Profile? SEC Releases More Data on Newly Registered Private Equity Funds

The Securities and Exchange Commission (SEC) recently released additional data regarding newly…

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FINRA Wants to Make It Easier To Clear Your Good Name

The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new…

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Show Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules

The U.S. Securities and Exchange Commission (SEC) is creating a new method…

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Get Out the Shovel: SEC Digging Into New Hedge Fund Data

The Securities and Exchange Commission (SEC) has started to comb through the…

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Stoking the Fiduciary Fire: Debate Over Broker Oversight Heats Up

The debate over the fiduciary standard is rearing its head again, and…

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The Numbers Are In: Fewer Advisory Firms Switch to State Oversight

Fewer advisory firms than expected will be converting to state registration. As…

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Investment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs

Legislation is currently pending in the U.S. House of Representatives that could…

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FINRA Adopts New Best Execution Rule

The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities…

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