Investment Advisers

SEC Charges a Third Trader in Louisiana-Based Insider Trading Case
Today I want to touch upon some initiatives we are very excited about, and which the Division will be devoting a lot of attention to ...
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...
Where we last left the saga of Sands Brothers Asset Management ($64M in AUM) in New York, the CCO had changed his mind about settling ...
Among the plethora of tools mentioned at IA Watch’s IA Compliance: The Full 360° View conference in Washington, D.C. last month, was a memo provided ...
Last week, the SEC’s Advisory Committee on Small and Emerging Companies presented Commissioners with a suggestion to define “accredited investors” as those “who meet a ...
Supporting Innovation Through the Commission’s Mission to Facilitate Capital Formation
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