As more aggregation takes place in the industry, more firms are supervising advisors located...
Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic....
The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team...
The Securities and Exchange Commission (SEC) recently made an announcement regarding Interactive...
The SEC is frequently receiving applications for exemptions or other relief for funds. These...
On July 10th, 2020 the SEC proposed changes to Form 13F to update the threshold for institutional...
The OCIE is frequently asked about their findings when examining RIAs that manage private equity or...
The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of...
Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of...
