Branch office registration for broker-dealers and advisers hoping to open a branch office in Florida has just gotten easier, thanks to a new Florida state measure. On June 14, 2013, Governor Rick Scott passed a law to allow branch office … Read More
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
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
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
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
Mar./Apr. 2013
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
