Investment Advisers

Steven Pagartanis was a registered representative associated with broker-dealers registered with the Commission. Pagartanis, 60 years old, is a resident of East Setauket, New York ...

During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...

The Director of the Division of Examinations is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national securities associations, clearing agencies, ...

"Insisting that an entity that is willing to settle be left in the dark about whether its waiver application will be granted significantly alters the ...

Independent compliance expert and consultant Toni Caiazzo Neff passes along this COVID-19 due diligence questionnaire. 

The Division of Enforcement will no longer recommend to the Commission a settlement offer that is conditioned on granting a waiver

You may consider asking another adviser to represent the interests of one of the joint owners as you advocate for the interests of the other

Although the new rule wouldn’t require pre-approval of ads, advisers may wish to adjust their internal marketing reviews to consider if any necessary “material” information ...

A CCO peer shares with RCW the firm's expense allocation P&P

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...