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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...
SEC settlement concept, a lawyer shaking hands

Can an Alleged SEC Violation Be Settled?

When the Securities and Exchange Commission (SEC) initiates investigations into alleged violations...
Learn how to prepare for arbitration

How To Prepare for Arbitration: 5 Essential Tips

Whether you possess extensive experience in the business world or are a budding entrepreneur, it is...
An RIA doing a review for SEC compliance.

SEC Plans to Focus Its Attention on Recently Adopted Rules

The Securities and Exchange Commission (SEC) has recently implemented multiple rules that impose...
Accessing the world online

Regulation in an Online World

The SEC is on a path to ensure that all forms of finance are fairly regulated. And in a...
Fiduciary Duty

What is Fiduciary Duty and What Does that Mean For Your Firm?

The term “fiduciary duty” is often used in finance, but its meaning may be unclear to...
7 Things Consider Hiring a Regulatory Defense Attorney

7 Issues for Which Financial Advisors and Firms Should Consider Hiring a Regulatory Defense Attorney

As a financial advisor, your primary focus lies in excelling at what you do best: generating wealth...
SEC Division Of Enforcement Examinations & Enforcement Actions

SEC Division of Enforcement Examinations and Enforcement Actions

As an RIA, it is essential for you to stay updated on the operations and examination focus of the...
Will the Biden Administration's SEC Enact More Regulations & Enforcement?

Will the Biden Administration’s SEC Enact More Regulations and Enforcement?

Will the Biden Administration’s SEC Enact More Regulations and Enforcement? Gary Gensler, the...