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SEC Settles with Five Investment Advisers for Marketing Rule Violations | JD Supra
JD Supra· 5 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the...
SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 7 days agoRegarding Advisers Act Marketing Rule Compliance” (the “Alert”). This Alert reinforces prior Division publications[1]that addressed SEC-registered investment</ ...
Cetera Launches Active ETF Research Select List
Yucaipa News Mirror· 4 days agoCetera Financial Group (Cetera), the premier financial advisor Wealth Hub, announced today that Cetera Investment Management (CIM), a registered ...
JD Supra: Securities Laws Fundamentals for Venture Capital Fund Managers
JD Supra· 2 days agoThis post is intended to provide a quick introduction to the main securities laws that will apply to the fund, the management company and the fundraising process. Given the variables that can ...
SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies | JD Supra
JD Supra· 7 days agoLast week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations...
JD Supra: SEC Adopts Third Set of Amendments to Form PF
JD Supra· 3 days agoThe latest round of revisions to Form PF made a stealthy arrival, with the SEC announcing in mid-February that it adopted the updates without an in-person vote. As the third set of amendments ...
Write the Best Annual Compliance Review Ever! | JD Supra
JD Supra· 6 days agoMany chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. Under Rule 206(4)-7, federally registered < ...
Top Tips for Updating Your 2024 Compliance Program | JD Supra
JD Supra· 6 days agoEvery year compliance officers face the unenviable job of performing their compliance program's...
QPAM Exemption Amendment—Key Takeaways and Action Steps for Advisors and Other Stakeholders | JD...
JD Supra· 5 days agoMany investment advisers and other financial institutions rely on the Department of Labor’s QPAM Exemption when providing services to, and transacting with, employer-sponsored ...
Strategic Financial Management for Nonprofits
Digital Journal· 6 days agoFragasso Financial Advisors, a premier investment management and financial planning firm, is proud to announce its continued commitment to providing specialized ...