A Practical Guide for Private Equity and Hedge Funds : Registration With…
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A Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital…
Read MoreLaw Review Article on Crowdfunding Rules Urges SEC to “Keep It Light”
To date, the SEC has received nearly 200 comments on Title III…
Read MoreFINRA Conducting Social Media “Sweeps”
FINRA is currently conducting “spot checks” of how broker-dealers are policing social…
Read MoreIs Policy Shift on the Way for SEC Settlements?
The SEC currently allows investment advisers and other registered entities to resolve…
Read MoreNew FINRA Arbitrator Rules Take Effect July 1
FINRA’s new rules for arbitrators will take effect on July 1, 2013.…
Read MoreCoalition Calls on SEC Not to Water Down Fiduciary Standard
On July 5, the deadline approaches for comments on the SEC’s cost-benefit…
Read MoreSEC Adviser Exams: What to Expect When an Examiner Comes Knocking
Given recent statements by the SEC Chairman Mary Jo White, the SEC…
Read MoreLPL Learns the Hard Way: Make Sure You Save Those Emails
FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million…
Read MoreSEC Hoping to Take Control Over Adviser Oversight With Stepped Up Exams
The SEC continues its efforts to prove that it is up to…
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