In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...
House-Senate conferees will meet next month to hammer out differences between their respective financial regulatory reform bills with key issues affecting investment advisers being among ...
The SEC is giving the industry 10 days to comment on a proposed rule that would pause trading in an individual stock if its price ...
Last Thursday the Senate passed historic financial reform legislation by a bipartisan vote of 59-39 (see how your Senators voted) without an amendment broadening a ...
Financial regulatory reform legislation would give the SEC the ability to end the standard industry practice of forcing upon upset investors mandatory arbitration to settle ...
Tightly control your reps’ ability to update their customers’ contact information – especially if they’re about to leave. Otherwise, you might suffer a fate similar ...
A global economy inspires far-flung partnerships but the rules spell out quite forcefully the bounds of behavior, and missteps can be punished severely.Advisers Act rule ...
You won't find any mention of fair allocation in the Advisers Act but the concept has evolved through SEC no-action letters and enforcement cases, and ...
RIAs would not be considered to have custody of client assets simply by having the written authority to transfer client assets among different qualified custodians. ...
Last night the Senate passed historic financial reform legislation by a bipartisan vote of 59–39 (see how your Senators voted). This morning President Obama will ...