Many start-ups need to raise capital to be able to produce the…
Read MoreStart-Ups and Entrepreneurs: Read This Before Going Through a Financing Round
Today’s topic surprises and shocks most of my start-up and entrepreneur clients…
Read MoreMaking Sense of Your Options: Raising Capital In Private Offerings
Let’s say you have started/built this really great business that needs funding…
Read MoreSEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments
Whether or not 2014 will be the year of the alternative investments,…
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 MoreFINRA’s Conflicts of Interest Report: Bridging the Great Divide?
FINRA issued a report on conflicts of interest within the broker-dealer industry…
Read MoreThe SEC and the Chief Compliance Officer, 2013
Mary Jo White recently gave a speech before the National Society of…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read More