Form ADV

“We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

The SEC also points the finger at the CCO for filing and signing years’ worth of Form ADV brochures that allegedly contained “false and misleading ...

The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client

By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...

Reg D reform, once consigned to bottom of SEC's to-do list, rockets to the top.

Seven arrests in five separate cases have put plenty of arrows into reformers' quivers.

'The SEC must grow and evolve with the industry,' chairman says.

Some advisers may legitimately have cybersecurity concerns about listing the address of their cloud provider, fearful it could give hackers a designation where they can ...

It’s been seven years since the SEC filed an enforcement action against The Robare Group claiming a failure to disclose compensation. A rollercoaster of multiple ...

DeCaprio was responsible for reviewing drafts of the Form ADV Part 2A for accuracy and completeness and failed to disclose the sub-advisory relationship, the Mutual ...