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In the Seinfeld sitcom which has been in syndication for years, Jerry’s friend, George Costanza,false
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Spring is approaching and you may feel it is time to clean out the office, including the filingfalse
3 minute read
In recent years the SEC has been paying close attention to discrepancies in Form ADV filings andfalse
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FINRA Rule 1250 requires registered persons to participate in Continuing Education (“CE”). The termfalse
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On Friday, February 3, the Trump Administration issued a memorandum which is likely to delayfalse
4 minute read
Last month we discussed how a Family Office is exempt from the definition of “investment adviser”false
3 minute read
The term “family office” has multiple meanings in the securities universe. Here we discuss thefalse
2 minute read
On January 12, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announcedfalse
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As 2016 came to a close, a few investment advisers finally found time to follow up on compliancefalse