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SEC Violations: What You Need to Know

The Securities and Exchange Commission (SEC) plays a vital role in safeguarding the integrity of...

private equity fund structure 101

Private Equity Fund Structure 101

You’ve probably heard the term ‘private equity’ thrown around in financial...

Dive deep into the SEC's custody rule, understanding its implications, requirements, and relevance for your financial operations.

SEC Custody Rule Explained: What Investment Advisers Should Know

As an investment adviser, you are familiar with the intricate nature of regulatory laws and...

finra 3110

Inside FINRA Rule 3110: Understanding the Framework for Risk Management

In the world of financial services, risk management plays a crucial role in safeguarding the...

what is regulatory compliance

What is Regulatory Compliance? 5 Best Practices Every Organization Should Follow

If you run a business, you need to understand regulatory compliance. This means following all laws...

we are here to help with litigating class action securities claim

Litigating Class Action Securities Claims: Challenges and Opportunities

The process of litigating class action securities claims presents both complex challenges and...

The Series 65 exam is part of becoming an RIA

Your Guide to the Series 65 Exam: All You Need to Know

So, you’re interested in becoming a registered investment advisor (RIA)? Well, you’ve...

Lawyers ensure private funds follow compliance rules.

Get It Right: 5 Reasons You Need Legal Support for Private Funds

You need to get it right when managing private funds. You already have your eye set on success. But...

A private fund manager discussing SEC compliance

Private Funds, the SEC, and the Law: Which Rules Apply?

A private fund refers to an entity that consolidates funds from numerous investors without actively...