Hugh Kennedy
You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...
The clock is ticking on SEC Chair Mary Jo White’s stated desire to determine by year’s end what, if any, options to pursue when it ...
The NASAA has released preliminary findings from its annual enforcement survey. The highlight: cases stemming from state securities regulators in 2013 resulted in 33% higher ...
The SEC, FINRA and MSRB are partnering to host the first-ever Compliance Outreach Program for municipal advisors. The event will take place in Chicago at ...
This section provides two “hardship exemptions” from the requirement to make Advisers Act filings electronically with the Investment Adviser Registration Depository (IARD). (a) Temporary hardship ...
For purposes of section 203A of the Act (15 U.S.C. 80b-3a) and the rules thereunder: (a)(1) Investment adviser representative. “Investment adviser representative” of an investment ...
(a) Exempt reporting advisers. If you are an investment adviser relying on the exemption from registering with the Commission under section 203(l) or (m) of ...
If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b-3), it is a fraudulent, ...
(a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act ...
(a) Exclusion. A family office, as defined in this section, shall not be considered to be an investment adviser for purpose of the Act. (b) ...