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Disclosures (202)
Your search for Disclosures returned 202 results.
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9/12/2019 | Content area: Investment Adviser
You may be alarmed when you think it took the SEC 178 pages in its Form CRS rule to help you produce a new two-page disclosure document (IA Watch, Jun...
9/05/2019 | Content area: CPO/CTA
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The NFA h...
8/29/2019 | Content area: Investment Adviser
Nobody likes it when a finger gets pointed their direction. Skip casting blame and you may get a clearer picture of how many errors your traders make....
8/22/2019 | Content area: Investment Adviser
Form ADV, Part 2a – the brochure – includes a section on fees but the structure fails to allow easy comparisons among what advisers charge, according ...
8/22/2019 | Content area: Investment Adviser
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking schem...
8/15/2019 | Content area: Investment Adviser | Broker-Dealer
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/13/2019 | Content area: Private Fund
The net effect of these transactions was that MVP and its personnel were paid, either directly or through the Broker, up-front fees of between eleven ...
8/01/2019 | Content area: Broker-Dealer
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose a pa...
8/01/2019 | Content area: Investment Adviser
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated s...
7/25/2019 | Content area: Investment Adviser
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that the...
7/23/2019 | Content area: Investment Adviser
Investment advisers have to do a better job of disclosing their employees' disciplinary records, a new OCIE risk alert says.  OCIE staff conducted mo...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
7/18/2019 | Content area: Private Fund
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble.   A new enforcement settlement bars...
7/11/2019 | Content area: Investment Adviser
Claiming your firm manages over $1 billion in assets to nearly 100 prospects when in reality the firm has “never managed any significant assets” spark...
7/05/2019 | Content area: Investment Adviser
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An SEC e...
7/02/2019 | Content area: Investment Adviser
A professional athlete, who was receiving non-advisory services from Parrish Group, responded to Davis’s recommendation that he open an investment adv...
7/01/2019 | Content area: Investment Adviser
On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Financ...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...


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