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This final rule creates six new Advisers Act rules and modifies two others and becomes effective Nov. 13, 2023

Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again

Issues with the advertisement of hypothetical performance yielded penatlies ranging from $50,000 t0 $175,000

A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession

“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023

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The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"

Suit asks Fifth Circuit to vacate sweeping new rules

SEC can't mandate stand-alone compliance departments, but burdens of new rules may make it inevitable

The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...