investment adviser

Even if they are disinterested in politics, registered investment advisers (“RIA”) must be aware of...

Regulation S-P is the SEC’s primary rule pertaining to the privacy notices and safeguard policies...

A recent enforcement action demonstrates that the SEC will not ignore compliance violations,...

By Craig Moreshead & Rita Tholt

The Massachusetts Securities Division recently issued a consent order accepting an offer of...

It’s Complicated. It’s Way Too Complicated.