Investment Advisers

There’s plenty of talk that the SEC will revisit the accredited investor thresholds but no action yet. You still have flexibility in how you verify ...

Like many of us, the Investment Adviser Association enjoyed a reversal from the pangs of the pandemic. According to the IAA’s latest IRS Form 990—obtained ...

Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...

"Few things undermine trust in the markets more than insiders abusing their positions for personal advantage, such as by trading using material nonpublic information"

"As we work to advance this agenda, we greatly benefit from public input regarding the economics and the policies themselves"

"It’s because we oversee the U.S. securities markets and have a real role to ensure they remain the most efficient, competitive, and resilient in the ...

ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...

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It may have taken 13 years, but the SEC has finally approved a rule Congress ordered it to promulgate in the 2010 Dodd-Frank law: prohibiting ...