RCW Staff
Last week, the Federal Register published the 96-page final rule the Commission passed last month on defining a security-based swap dealer or major security-based swap ...
A clear message to the Department of Labor from industry groups about the agency's proposed rule requiring a "guide" to adviser and other service providers' ...
Last month, we reported the enforcement action against TL Ventures and Penn Mezzanine, two exempt-reporting advisers that thought the pay-to-play rule didn't apply to them ...
If you sell securities via a private placement to a non-accredited investor, you must notify FINRA.This rule applies to offerings made with funds from a ...
If your firm hands the responsibility of conducting internal compliance investigations to a general counsel or other in-house lawyer, you may well have grounds to ...
We recently shared tips for how investment advisers should conduct their risk assessment (IA Watch, May 5, 2014). Now, we take up the task for ...
Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for ...
This is an SEC document request letter sent to an adviser that had never been examined before. This letter, from 2014, came out of the ...
The July 14, 2014 IA Watch Weekly Briefing.