How to Register as an RIA: State Registration vs. SEC Registration
In our previous blog on Registered Investment Advisers (RIAs), “How [...]
11
06, 2018
23
05, 2018
Crowdfunding: Funding Portal Registration – Part II
[Continued from Crowdfunding: Funding Portal Registration – Part I] Funding [...]
23
05, 2018
Crowdfunding: Funding Portal Registration – Part I
Title III of the Jumpstart Our Business Startups (JOBS) Act, [...]
10
05, 2018
How to Register as an RIA: What is a Registered Investment Adviser?
A Registered Investment Adviser, or “RIA” as it is commonly [...]
4
01, 2018
What is Custody?
Custody remains a focus area for SEC and state regulators [...]
21
11, 2017
The SEC’s Priorities in 2018
Recently, the Securities and Exchange Commission’s Enforcement Division released their [...]
6
10, 2017
Large Trader – Rule 13h-1 (Part 2)
For Part 1, please see Large Trader-Rule 13h-1 (Part 1). Part [...]
21
09, 2017
How to Become an RIA
A registered investment advisor (“RIA”) is a person or firm [...]
9
08, 2017
Large Trader – Rule 13h-1 (Part 1)
Rule 13h-1 helps the SEC identify and obtain trading information [...]
7
08, 2017
Annual Reviews – SEC Rule 206(4)-7
SEC Rule 206(4)-7 requires investment advisers to review, no less [...]