Today’s topic surprises and shocks most of my start-up and entrepreneur clients…Read More
Making Sense of Your Options: Raising Capital In Private Offerings
Let’s say you have started/built this really great business that needs funding…Read More
SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments
Whether or not 2014 will be the year of the alternative investments,…Read More
The Annual Drill—Calculating Regulatory Assets Under Management for Form ADV
While working on the chapter on Regulatory Assets Under Management for my…Read More
SEC Issues Guidance on General Solicitation Rules
On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…Read More
FINRA’s Conflicts of Interest Report: Bridging the Great Divide?
FINRA issued a report on conflicts of interest within the broker-dealer industry…Read More
The SEC and the Chief Compliance Officer, 2013
Mary Jo White recently gave a speech before the National Society of…Read More
Taking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…Read More
Are DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…Read More
Will We See Crowdfunding Rules This Fall?
Mary Jo White said it. It’s on C-SPAN. Crowdfunding rules could finally…Read More