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Form ADV
Call it the trifecta. Barclays Capital May 10 settled with the SEC for a range of compliance missteps that included overcharging clients by millions of ...
If your firm’s Form ADV brochure trumpets a staffer’s education or certification, make sure you confirm the claim. That’s one lesson from the SEC’s ...
Barclays Capital, then a dually-registered investment adviser and broker-dealer, improperly charged certain advisory clients of its wealth and investment management business, overcharging them almost $50 ...
These proceedings concern material misrepresentations by Michelle M. Smith (“Smith”) and Source Financial Advisors, LLC (“Source”), the registered investment adviser Smith founded and owns. From ...
From January 2010 to August 2015 (the “Relevant Period”), TMG and Tellone allocated profitable day trades in a manner that was sometimes inconsistent with TMG’s ...
Instructions for Form ADV-W.
The Securities and Exchange Commission (the “Commission” or “SEC”) is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act") ...
The return on investment for social media appears to be on the rise—at least for financial professionals. American Century Investments’ seventh annual Financial Professionals Social ...
The last state to lack an investment adviser law has joined the nation. Wyoming has passed a new law that starts in July requiring IAs ...
If beauty is in the eye of the beholder, then deciding what qualifies as a material change lies in the hands of the Form ADV ...