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Disclosures (109)
Your search for Disclosures returned 109 results.
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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...
4/11/2019 | 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...
2/07/2019 | 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: Investment Adviser
After two years, The Robare Group ($177M in AUM) finally argued its Form ADV disclosure enforcement case before appellate judges Jan. 23 (IA Watch, No...
12/21/2018 | Content area: Investment Adviser
Timbervest and the Division recognize that, according to Lucia v. SEC, 138 S. Ct. 2044 (2018), Timbervest would be entitled to a “new hearing” before ...
12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
Respondents mischaracterized the Fund as being “hedged,” when in fact the use of these new kinds of derivatives added risk. Respondents’ description o...
12/13/2018 | Content area: Investment Adviser
OCIE has made no secret of its interest in undisclosed compensation and failures to seek best execution. So the $598,000 in fines assessed against Lan...
12/13/2018 | Content area: Investment Adviser
Disclosure is at the heart of our country’s and the SEC’s approach to both capital formation and secondary liquidity. As stewards of this powerful, fa...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...


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