Rulemaking

ComplianceEX recently published an article by Julie DiMauro regarding the debate, albeit not as pronounced as of late, over whether broker-dealers should be subject to a fiduciary duty standard of care

Continue Reading To Be Or Not To Be . . . A Fudiciary Is The Question

Recently, an investor advocacy group petitioned the SEC to prohibit brokerage firms, who offer wraparound accounts, to also provide investment advice through both a duly registered BD and investment adviser. 

Continue Reading PRIVATE GROUP SEEKS TO BAN ACCOUNTS FROM DUAL REGISTRANTS

In its never ending quest to find suitable ways to address capital formation issues in the United States, the SEC’s Division of Corporation Finance is looking to see if foreign jurisdictions

Continue Reading IS IT POSSIBLE TO FIND CAPITAL FORMATION SUCCESS OVERSEAS?

The SEC’s Office of Compliance Inspections and Examinations announced that it will increase their examinations of newly registered private fund advisers starting this summer. 

These examinations are being done in

Continue Reading THE SEC’S OCIE’S SUMMER PLANS