BREAKING NEWS
Adviser asks Supreme Court to take his case, rule SEC ALJ system unconstitutional
7/21/2017

You knew it was coming and today an investment adviser formally asked the U.S. Supreme Court to determine the constitutionality of the SEC’s ALJ syste...

TOP STORIES
IA
7/20/2017
You can assume Andrea Sayago’s busier than the average CCO – given that she’s the named CCO for 11 RIAs.   Like Sayago, Cheryl Vohland’s name comes up...
BD
7/20/2017
FINRA’s focus on high-risk brokers and the payment of arbitration awards by firms and individuals continues at the SRO. On the heels of a July 18 Boar...
PF
7/20/2017
Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to value your priv...
Latest News
7/20/2017 | Content areas: Investment Adviser

Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...

7/20/2017 | Content areas: Broker-Dealer

Needed new guidance on coming fixed income confirmation disclosure requirements has been released by FINRA. The guidance—in the form of 45 FAQs—is aim...

7/20/2017 | Content areas: Broker-Dealer

At least in theory, supervisors are your front line of defense, the managers on the ground who monitor daily activities; while compliance writes polic...

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