Investment Advisers

Understanding Disqualifications, Exemptions and Waivers Under the Federal Securities Laws
Back in December, SEC Chair Mary Jo White announced a plan to “enhance and strengthen” the Commission’s regulatory programs in response to the ever-changing asset ...
Amid concerns about a lack of consultation among the Department of Labor and the SEC on the DOL’s reproposed fiduciary rulemaking, two Republican lawmakers are ...
It’s an often stated maxim delivered at industry conferences: you don’t want your firm’s compliance issues to appear on page one of the Wall Street ...
Default Judgment Entered Against Securities Lawyer for Forging Attorney Opinion Letters for Microcap Stocks
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