Law to Speed Advisor Registrations

On Tuesday, a state senate committee unanimously approved a bill that would make Florida a “notice-filing” state, which means that representatives of out-of-state SEC registered financial firms seeking to do... [...]

Elisse Walter, in a recent speech to NASAA voiced her concerns about the often ineffective compliance programs at smaller advisory firms. She said, “We recognize that small firms present special... [...]

A private fund sponsor has agreed to settle an enforcement action alleging that its violations of the custody and compliance rules allowed a rogue employee to misappropriate client funds. According... [...]