investment advisor

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

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

On August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a...

On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...

The term “fiduciary” has received great attention in investment-services compliance recently. It...

On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliance...