Know Your Customer Guidebook

The SEC’s Division of Investment Management has announced that nearly 4,000 investment advisors have registered with the SEC pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. 

In fact

Continue Reading SEC Announces Nearly 4,000 New Registered Investment Advisors

In recent days, industry and investor advocates have been fighting over the general solicitation and advertising exemptions in private placements that went into effect with the JOBS Act.

Further, these

Continue Reading The JOBS Act Causing Clashes Between the Industry and Investor Groups

We have repeatedly blogged about government investigations.  Moreover, regardless of the election results, government investigations will continue.  Further, these governement investigations take on a life of their own and almost always encompass several different

Continue Reading WHAT HAPPENS WHEN THE SKY DOES IN FACT FALL IN ON YOU? EXPORT CONTROLS AND OTHER CUSTOMS ISSUES