Merrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes

As we discussed last week, when advisers switch firms, it can often…

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FINRA Outlines Top Enforcement Priorities for Broker-Dealers

The Financial Industry Regulatory Authority recently released its regulatory and examination priorities…

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SEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management

As we mentioned in an earlier blog post, the Securities and Exchange…

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Are You Ready to Comply With the New Large Trader Reporting Rule?

This summer, the Securities and Exchange Commission adopted a new rule establishing…

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Advisers to Private Equity and Hedge Funds: Have You Created a Code of Ethics?

As we have been discussing on this blog, under the new rules,…

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Advisers Must File Form ADV By February 14

As part of the implementation of the Dodd-Frank Act, all investment advisers…

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Adviser Update: Will FINRA and the SEC Be the New Dynamic Duo?

Advisers can expect the relationship between the Securities and Exchange Commission and…

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FINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year

Advisers should be aware that changing firms could lead to legal headaches,…

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Newly Registered Advisers: What You Need to Know About Advertising

Many advisers to private funds will be registering with the Securities and…

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SEC to Hold Adviser Compliance Seminar Tomorrow

The Securities and Exchange Commission will hold a national seminar to help…

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