Form ADV

With the countdown underway to October’s introduction of a new Form ADV (IA Watch, April 13, 2017), you now have fresh guidance via 24 new ...

Here are more than 20 new FAQs released by the SEC's Division of Investment Management in June 2017.

Charging your clients additional fees for no additional services is sure to garner scrutiny from the SEC. The Connecticut-based Momentum Investment Partners (dba as Avatar ...

Call it the trifecta. Barclays Capital May 10 settled with the SEC for a range of compliance missteps that included overcharging clients by millions of ...

If your firm’s Form ADV brochure trumpets a staffer’s education or certification, make sure you confirm the claim.   That’s one lesson from the SEC’s ...

Barclays Capital, then a dually-registered investment adviser and broker-dealer, improperly charged certain advisory clients of its wealth and investment management business, overcharging them almost $50 ...

These proceedings concern material misrepresentations by Michelle M. Smith (“Smith”) and Source Financial Advisors, LLC (“Source”), the registered investment adviser Smith founded and owns. From ...

From January 2010 to August 2015 (the “Relevant Period”), TMG and Tellone allocated profitable day trades in a manner that was sometimes inconsistent with TMG’s ...

Instructions for Form ADV-W.

The Securities and Exchange Commission (the “Commission” or “SEC”) is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act") ...