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Disclosures (180)
Your search for Disclosures returned 180 results.
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5/09/2019 | Content area: Broker-Dealer
Thousands of AXA Advisors retirement plan participants believed they were investing in certain bond funds that were “investment-grade.” Turns out a su...
5/03/2019 | Content area: Investment Adviser
We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispos...
5/02/2019 | Content area: Investment Adviser
Five years on and more than $700,000 in, Mark Robare isn’t sorry he fought the SEC over charges of negligent Form ADV disclosures following the mixed ...
5/01/2019 | Content area: Investment Adviser
Both sides in The Robare Group v. SEC case could claim a partial victory after the U.S. Court of Appeals in Washington, D.C. April 30 issued its rulin...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
4/25/2019 | Content area: Broker-Dealer
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”...
4/11/2019 | Content area: Investment Adviser
The dual registrant that we featured in a story earlier this year that looked at whether a disciplinary event should be considered a material change t...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
3/21/2019 | Content area: Investment Adviser
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that ...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
3/08/2019 | Content area: Investment Adviser
Some advisers making large acquisitions could trigger federal notification requirements from the Federal Trade Commission and the Justice Department (...
3/05/2019 | Content area: Investment Adviser
Many investors these days seem focused on non-investment matters at the expense of concentration on a sound allocation of resources to their highest a...
3/05/2019 | Content area: Investment Adviser | Broker-Dealer
While Valley Forge told clients that, “Similar services by other brokers may be offered at higher or lower prices elsewhere,” its rates were significa...
2/28/2019 | Content area: Private Fund
It’s likely the duty within a private fund advisory firm to allocate expenses falls to accounting or finance. But this doesn’t mean compliance officer...
2/21/2019 | Content area: Private Fund
One takeaway from those 13 advisers that settled with the SEC for failing for years to file Form PFs is to be careful in choosing your compliance cons...
2/07/2019 | Content area: Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...


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