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Relief for Non-U.S. Investment Advisers: SEC Clarifies the Extraterritorial Limits of the New...
The National Law Review· 7 hours agoOn August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted its highly...
BNY Mellon, Pershing bundle services, create big savings for clients - Pittsburgh Business Times
The Business Journals· 7 hours agoThe Bank of New York Mellon Corp. announced a bundled offering delivered through Pershing that...
Ex-Broker Charged With Bilking at Least 17 Clients in $2.7M Fraud | ThinkAdvisor
ThinkAdvisor· 21 hours agoJared Dean Eakes, from at least January 2019 through February 2020, falsely represented himself as a...
New SEC Data Breach Rules for Investment Advisers, Broker Dealers and Investment Companies | JD...
JD Supra· 19 hours agoRegulation S-P governs the use of personal information by certain financial institutions and historically required broker dealers, investment companies and registered ...
'Ponzi schemes are done in the open by bad people' - InvestmentNews
InvestmentNews· 6 hours agoThe three advisors are: Michael Mooney, Britt Wright and Penny Flippen. Dating as back as 2010, each...
JD Supra: Proskauer's Hedge Start: When Is SEC Registration Necessary?
JD Supra· 10 hours agoSecutiries and Exchange Commission (SEC) under the Investment Advisers Act of 1940, as amended (Advisers Act), will be required. In general, an investment
Stratos Adds Second Team in As Many Weeks in Its Backyard
WealthManagement.com· 3 days agoStratos Wealth Advisors, the fee-only registered investment advisor owned by Stratos Wealth...
California firm acquires another Seattle-area investment adviser - Puget Sound Business Journal
The Business Journals· 2 days agoRedmond-based registered investment adviser Joslin Capital Advisors has been acquired by Beacon...
RIA Regulatory Review - June 2024 | JD Supra
JD Supra· 3 days agoThe SEC adopted amendments to Regulation S-P to require SEC-registered investment advisers, among other entities, to develop, implement, and maintain written ...
Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety | JD Supra
JD Supra· 19 hours agoIn adopting the Final Rule, the SEC relied on its antifraud rulemaking authority found in section 206(4) of the Investment Advisers Act of 1940, as amended (the “Advisers ...
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