Fees and Expenses: 2019 SEC Examination Priorities
At the end of each calendar year, the Office of [...]
At the end of each calendar year, the Office of [...]
Today, investment advisers and broker-dealers face many challenges when providing [...]
Under the Investment Advisors Act of 1940 (the “Advisers Act”), [...]
With the transition into the electronic storage of client data, [...]
Investment Adviser Principal and Agency Cross Trading practices was the [...]
Beginning in 2017, the United States Security and Exchange Commission [...]
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
On May 23, 2019, the SEC, NASAA, and FINRA published [...]
In May of 2017, FINRA released a Retrospective Rule Review [...]
If you are a private fund adviser (i.e. hedge fund [...]