Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for…

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Making Sense of Your Options: Raising Capital In Private Offerings

Let’s say you have started/built this really great business that needs funding…

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Costs of Equity Crowdfunding: Are Companies in for Sticker Shock?

When the SEC‘s proposed new rules for Regulation Crowdfunding came out in…

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Mark Your Calendars for Your Annual Review

Before you even start reading this, go to Outlook or whatever calendar…

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SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments

Whether or not 2014 will be the year of the alternative investments,…

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Mark Your Calendars: Key Compliance Dates for Advisers

It’s hard to believe that January is almost over and 2013 just…

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Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of…

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SEC Proposes Regulation A+ For Small Businesses

With all eyes focused on the lifting on the ban on solicitation…

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Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it…

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Open for Comment: FINRA’s Funding Portal Rules

With all the noise about the proposed set of rules for crowdfunding…

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