
The SEC recently published a risk alert detailing observations from investment advisors’ and...

Several states adopted measures granting temporary relief to investment advisor registrants...

On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...

On December 21, 2020, the SEC’s new exemptive Rule 18f-4, which sets forth the conditions under...

Effective February 1, 2021, New York will require Investment Advisor Representatives (IARs) to...

In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...