Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a rare onslaught, ...
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out when ...
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advisers ...
Not long after Washington streets cleared of fans celebrating their hockey team winning the cherished Stanley Cup, a much smaller group of advisers headed to ...
Trade reporting demands are rising on several fronts, and FINRA is finding new ways to use the data to keep tabs on firms and markets. ...
Not disclosing a side letter agreement with two affiliated outside asset managers entitling a New York-based investment adviser to quarterly payments based on a percentage ...
Ask Senior FINRA Staff is the last, and often most highly anticipated session at the SRO’s annual conference. Here are some highlights from this year’s ...
The SEC’s proposed Regulation Best Interest comes in at more than 100 pages (BD Watch, April 19, 2018) but that hasn’t stopped critics from swiftly ...
Bluestone Capital Management ($3.1B in AUM) in Wayne, Pa., reported in its latest Form ADV filing that its CCO gets paid by other sources. A ...
OCIE’s interest in performance advertising reaches into its exams of private equity fund advisers, too. For instance, you don’t want to say that you ...