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It isn't often that the SEC pursues charges against advisers for GIPS violations and even more unusual for the agency to fine a former CCO ...
You've probably run into this a few times in your day. Marketers who insist they've created a pitchbook for a one person only so, of ...
Last week, the SEC's Division of Investment Management released new guidance on when investment advisers can publish social media comments about their firm without triggering ...
The SEC's Division of Investment Management's 2014 guidance on the use of social media and what may or may not be considered a testimonial.
Three years ago, Mark Grimaldi, the CCO who runs Navigator Money Management ($115M in AUM) in Wappingers Falls, N.Y., co-founded the newsletter The Money Navigator ...
For the second time this month, the SEC has issued new FAQs to help private fund advisers functioning under new rule 506 changes (IA Watch, ...
No signs presented themselves that an SEC exam would be in the offing, but a New York CCO took OCIE's 2013 exam priorities list and ...
You'll find new focus areas - e.g., general solicitation, IPOs and crowdfunding - sprinkled among perennial items in the latest version of FINRA's annual Regulatory ...