Changes to New Form 13F to Be Posted End of May
A new online version of Form 13F is scheduled to be made accessible on the Security and Exchange Commission (SEC) Electronic Data Gathering, Analysis, and Retrieval (EDGAR) filing website on Monday, May 20, 2013. Form 13F, also known as the … Read More
Congress Introduces Bill for SEC Fees on Investment Advisers
A bill for the Securities and Exchange Commission (SEC) to allow the Commission to collect fees from investment advisers for funding of examinations has been recently re-introduced in Congress by Representatives Maxine Waters of California and John Delaney of Maryland. … Read More
Steps To Consider in Preparing For a 2013 SEC Exam
The recent SEC release of exam priorities serves as a helpful reminder that broker-dealer (BD) and investment advisory (IA) firms should ensure they are prepared when the SEC comes knocking. Below are some steps that you may want to consider in … Read More
SEC and The Use of Social Media
The use of social media has become a very convenient and economical way for companies and individuals to share and broadcast information. However, this avenue of advertising and communication has attracted the attention of both federal and state regulators. Last … Read More
The Importance of An Adviser’s Annual Review
Mar./Apr. 2013
The Importance of Effectively Monitoring Gifts & Entertainment – Part 3: Pay-To-Play
Another rule that firms must be mindful of in monitoring is the SEC’s, Pay-to-Play Rule. The Rule is designed to prevent investment advisers (IAs) from obtaining governmental business, through direct or indirect campaign contributions made by certain high-level employees to … Read More
The Importance of Effectively Monitoring Gifts and Entertainment – Part 1: ERISA
Gifts and entertainment can establish goodwill between securities professionals and their clients. However, some gifts and entertainment benefits can be too frequent or so excessive as to give rise to an appearance of improper influence. To prevent improprieties, governmental agencies … Read More