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proxy vote rules

3 Things You Need to Know About Proxy Voting for Your Clients

As a financial advisor, proxy voting for client investments falls under your fiduciary obligations....
The SEC's New Risk Alert for Newly Registered RIAs

The SEC’s New Risk Alert for Newly Registered RIAs

If you’re a financial advisor who recently registered as an investment advisor or...
10 things you SHOULD know about SEC investigations

What Every Advisor Should Know About SEC Investigations

No advisor desires to utter the feared word – investigation. The mere mention of it evokes...
sec investigations and enforcement actions

What to Do If You’re Under Securities Investigation: 10 Tips from a Securities Lawyer

As a financial advisor, receiving a notice or phone call indicating that you are the subject of an...
Robo-advisers Aren’t Just For Millennials

Navigating an SEC Investigation: What to Expect and How to Protect Yourself

Discovering that you are the focus of an investigation by the Securities and Exchange Commission...

SEC Violations: What You Need to Know

The Securities and Exchange Commission (SEC) plays a vital role in safeguarding the integrity of...
Dive deep into the SEC's custody rule, understanding its implications, requirements, and relevance for your financial operations.

SEC Custody Rule Explained: What Investment Advisers Should Know

As an investment adviser, you are familiar with the intricate nature of regulatory laws and...
A private fund manager discussing SEC compliance

Private Funds, the SEC, and the Law: Which Rules Apply?

A private fund refers to an entity that consolidates funds from numerous investors without actively...
SEC settlement concept, a lawyer shaking hands

Can an Alleged SEC Violation Be Settled?

When the Securities and Exchange Commission (SEC) initiates investigations into alleged violations...