New Form ADV Amendments Effective October 2017

Not long ago, Hurricane Katrina exposed shortcomings within our nations emergency recovery departments, such as FEMA, whose responsibility it is to respond effectively when lives are in the greatest need.... [...]

IRA rollovers are generally an important component of many advisors’ business model. Now, could some of these rollovers be caught within the potentially confusing boundaries of the DOL Fiduciary Rule?... [...]

Capital Dynamics Inc. is a New York-based investment advisory firm that agreed to pay a penalty of $275,000 when the SEC found that the firm improperly allocated investment funds. The... [...]

The Securities and Exchange Commission has ordered the dually registered Investment Adviser/Broker-dealer Cadaret, Grant & Co., Inc. to pay disgorgement, prejudgment interest, and civil penalties of more than 3 million... [...]

During the course of recent examinations conducted by the Securities and Exchange Commission (the “Commission” or the “SEC”), the agency noted an increase in cybersecurity preparedness among broker-dealers, investment advisers,... [...]