The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of…
Read MoreAre You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers
The Securities and Exchange Commission (SEC) is in the process of identifying…
Read MoreDo 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…
Read MoreFINRA Wants to Make It Easier To Clear Your Good Name
The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new…
Read MoreShow 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…
Read MoreGet Out the Shovel: SEC Digging Into New Hedge Fund Data
The Securities and Exchange Commission (SEC) has started to comb through the…
Read MoreStoking the Fiduciary Fire: Debate Over Broker Oversight Heats Up
The debate over the fiduciary standard is rearing its head again, and…
Read MoreThe Numbers Are In: Fewer Advisory Firms Switch to State Oversight
Fewer advisory firms than expected will be converting to state registration. As…
Read MoreInvestment 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…
Read MoreFINRA Adopts New Best Execution Rule
The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities…
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