Wrap Fee Program
A wrap fee program is an arrangement between financial institutions [...]
14
07, 2017
12
07, 2017
Investment Advisers: SEC vs. State Registration
Due to the Dodd-Frank legislation, as of mid-2012, there are [...]
7
07, 2017
SEC Releases New RIA Form ADV Filing Requirements Effective October 2017
Securities and Exchange Commission (SEC) adopted amendments to Investment Advisers [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part II
[Continued from Exempt Reporting Adviser Registration – Part I] Requirements [...]
13
10, 2016
Exempt Reporting Adviser Registration – Part I
The Dodd-Frank Act (“Dodd-Frank”) not only mandated the registration of countless [...]
22
09, 2016
Upcoming Changes to Form ADV Part 1
The Securities and Exchange Commission (SEC) recently announced revisions to [...]
21
09, 2016
What Is Form U10 And Why Do I Need It?
Note: With the implementation of the Test Enrollment Services System [...]
7
09, 2016
Utilization of Social Media in the Securities Industry
In today’s culture, the utilization of social media for business [...]
1
09, 2016
Clarifying Amendments to MSRB Rule G-37
In February 2016, the SEC approved amendments to MSRB Rule [...]
19
08, 2016
Business Continuity – Weather-Related Events
Recent U.S. natural disasters, especially Hurricane Sandy in 2012, underscore [...]