With all eyes focused on the lifting on the ban on solicitation…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreOpen for Comment: FINRA’s Funding Portal Rules
With all the noise about the proposed set of rules for crowdfunding…
Read MoreThe Annual Drill—Calculating Regulatory Assets Under Management for Form ADV
While working on the chapter on Regulatory Assets Under Management for my…
Read MoreSEC Issues Guidance on General Solicitation Rules
On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…
Read MoreSAC Capital, Insider Trading and the Southern District
It would be old news already if the case had not garnered…
Read MoreFINRA Cracking Down on “No Fee” Advertising
FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…
Read MoreSEC Examinations Targeting Advisers Who Are Still Waiting for Godot
I have worked with a number of advisers who have never ever…
Read MoreThe NYT Dealbook Conference 2013: Opportunities for Tomorrow
The New York Times Dealbook Conference was one of the most inspiring…
Read MoreThree Steps to an Effective Whistleblower Program
Everyone should have one. If you need more convincing, please read my…
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