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SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Amendments to Procedures for Exemptive Relief

The SEC is frequently receiving applications for exemptions or other relief for funds. These...

40 Years Without Change To Form 13F | Atlanta, GA | (770) 343-7299

40 Years Without Change to Form 13F. Overdue? Absolutely!

On July 10th, 2020 the SEC proposed changes to Form 13F to update the threshold for institutional...

What Are You Missing In Your Management Of Private Funds? | Atlanta, GA

What are you missing in your management of Private Funds?

The OCIE is frequently asked about their findings when examining RIAs that manage private equity or...

Update: SEC Rule Change Proposal! | Atlanta, GA 30339 | (770) 343-7299

Update: SEC Rule Change Proposal!

The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of...

What Violations Are Catching FINRA’s Attention? | Atlanta, GA 30339

What violations are catching FINRA’s attention?

Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of...

Are Your Disclosures Going To Get You In Trouble | Atlanta, GA 30339

Are your disclosures (or lack of) going to get you in trouble?

The SEC initiated an effort several years back, mandating companies to come forward if they had...

SEC Modernizes Framework for Fund Valuation Practices

The SEC is Proposing a Modernization of the Framework for Fund Valuation Practices

This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast...

Is Your Cybersecurity Program Air Tight? | Atlanta, Ga 30339

Is your Cybersecurity Program Air Tight?

On January 27th, 2020, the Securities and Exchange Commission’s Office of Compliance...

FAQS On Regulation Best Interest

FAQS on Regulation Best Interest

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