investment advisor

time 1 minute read

Regulatory Update: State Regulators Revisit Temporary Relief for Investment Advisor Registrants Affected by the COVID-19 Pandemic

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

sec

time 1 minute read

Regulatory Update: SEC and State Advisors with NY IARs Must Register Their Representatives in 2021

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

sec

time 3 minute read

SEC Risk Alert: IA and BD Risks During The COVID-19 Pandemic

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

sec

time 4 minute read

SEC Moves Forward with New Advertising and Solicitation Rules

On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...
time 3 minute read

The Fiduciary Duty Of Investment Advisers - Understanding Its Murky Roots And A Guidepost

The term “fiduciary” has received great attention in investment-services compliance recently. It...
time 3 minute read

SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

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

This article is not a solicitation of any investment product or service to any person or entity.
The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.